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Full text of "North Carolina Register v.10 no. 16c (11/15/1995)"



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NORTH CAROLINA 



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REGISTER 



VOLUME 10 • ISSUE 16C» Pages 2027 - 2221 
November 15, 1995 



IN THIS ISSUE 

Acupuncture Licensing Board 

Administrative Hearings 

Auctioneers, Commission for 

Barber Examiners, Board of 

Certified Public Accountant Examiners 

Dental Examiners, Board of 

Dietetics/Nutrition, Board of 

Hearing Aid Dealers & Fitters Board 

Marital & Family Therapy Certification Board 

Nursing, Board of 

Nursing Home Administrators, Board of 

Opticians, Board of 

Pharmacy, Board of 

Physical Therapy Examiners, Board of 

Practicing Pastoral Counselors, Examiners of 

Practicing Psychologist, Board of 

Real Estate Commission 

Therapeutic Recreation Certification Board 

Veterinary Medical Board 

State Personnel 

Rules Review Commission Objections 

Contested Case Decisions 



PUBLISHED BY 

The Office of Administrative Hearings 
Rules Division 
PO Drawer 27447 
Raleigh, NC 27611-7447 
Telephone (919) 733-2678 
Fax (919) 733-3462 



L 






NOV re 1995 

"LAW LIBRAiAY 



This publication is printed on permanent, acid-free paper in compliance with G.S. 1 25-1 1. 13 



INFORMATION ABOUT THE NORTH CAROLINA REGISTER AND ADMINISTRATIVE CODE 



NORTH CAROLINA REGISTER 

The Xonh Carolina Register is published twice a month and 
contains information relating to agency, executive, legislative and 
judicial actions required by or affecting Chapter 150B of the 
General Statutes. All proposed administrative rules and notices of 
pubhc heanngs filed under G.S. 150B-21.2 must be published in 
the Register. The Register will typically compnse approximately 
fiftA pages per issue of legal text. 

State law requires that a cop) of each issue be provided free of 
charge to each count)' m the state and to vanous state officials and 
in.stitutions. 

TTie North Carolina Register is available by yearly subscription 
at a cost of one hundred and ninety five dollars (S 195.00) for 24 
issues. Individual issues mav be purchased for ten dollars 
($10.00). 

Requests for subscription to the Xorth Carolina Register should 
he directed to the Office of Administrative Heanngs, PO Drawer 
27447. Raleigh, NC 27611-7447. 

ADOPTION, AMENDMENT, AND REPEAL OF RULES 

The foUowing is a generalized statement of the procedures to be 
foUov^ed for an agenc\' to adopt, amend, or repeal a rule. For the 
specific statutory authorit} , please consult Article 2A of Chapter 
150B of the General Statutes. 

An\ agenc) intending to adopt, amend, or repeal a rule must 
first pubhsh notice of the proposed action in the yorth Carolina 
Register. The notice must include the time and place of the public 
hearing (or instructions on how a member of the public ma\' 
request a hearing); a statement of procedure for pubhc comments; 
the text of the propiised rule or the statement of subject matter: the 
reason for the proposed action: a reference to the statutory 
authority for the action and the proposed effective date. 

Unless a specific statute provides otherv^'ise, at least 15 days 
must elapse following publication of the notice in the North 
Carolina Register before the agency may conduct the pubhc 
heanng and at least 30 da_\ s must elapse before the agenc\' can take 
action on the proposed rule. An agency ma\' not adopt a rule that 
differs substantially from the proposed form pubhshed as part of 
the pubhc notice, until the adopted version has been pubhshed in 
the North Carolina Register for an additional 30 da_\- comment 
period. 

When final action is taken, the promulgating agency must file the 
rule with the Rules Review Commission (RRC). After approval 
hy RRC, the adopted rule is filed with the Office of Admimstrative 
Heanngs (OAH). 

A rule or amended rule generally becomes effective 5 business 
da\s after the rule is filed with the Office of Admimstrative 
Hearings for pubhcation in the North Carohna Adrmmstrative 
Code (NCAC). 

Proposed action on rules ma>' be withdrawn b\' the promulgating 



agency at any time before final action is taken by the agency or 
before fifing with OAH for pubhcation in the NCAC. 

TEMPORARY RULES 

Under certain emergency conditions, agencies may issue 
temporary rules. Within 24 hours of submission to OAH, the 
Codifier of Rules must review the agency's written statement of 
findings of need for the temporary rule pursuant to the provisions 
in G.S. 150B-21.1. If the Codrfier determines that the findings 
meet the criteria in G.S. 150B-21.1, the rule is entered into the 
NCAC. If the Codifier determines that the findings do not meet 
the critena, the rule is returned to the agency. The agency may 
supplement its findings and resubrmt the temporary rule for an 
additional review or the agency may respond that it will remam 
with its initial position. The Codifier, thereafter, will enter the 
rule into the NCAC. A temporary rule becomes effective either 
when the Codifier of Rules enters the rule in the Code or on the 
sixth business day after the agency resubmits the rule without 
change. The temporaiy rule is m effect for the penod specified in 
the rule or 180 days, whichever is less. An agency adopting a 
temporan rule must begin rule-making procedures on the 
permanent rule at the same time the temporary rule is filed with 
the Codifier. 

NORTH CAROLINA ADMINISTR.\TIVE CODE 

The North Carohna Admimstrative Code (NCAC) is a 
compilation and index of the admimstrative rules of 25 state 
agencies and 40 occupational hcensing boards. Compilation and 
publication of the NCAC is mandated by G.S. 150B-21.1S. 

The Code is di\ided into Titles and Chapters. Each state agency 
is assigned a separate tide which is further broken down by 
chapters. Title 21 is designated for occupational licensing boards. 
The NCAC is available m two formats. 

(1) Single pages may be obtained at a minimum cost of 
two dollars and 50 cents ($2.50) for 10 pages or less, 
plus fifteen cents ($0.15) per each additional page. 
Requests for pages of rules or volumes of the NCAC 
should be directed to the Office of Administrative 
Hearings. 

(2) The fuU publication and supplement service is printed 
and distnbuted by Barclays Law Pubhshers. It is 
a\ailable in hardcopy, CD-ROM and diskette format. 
For subscription information, call 1-800-888-3600. 

CITATION TO THE NORTH CAROLINA REGISTER 

The North Carolina Register is cited by volume, issue, page 
number and date. 10:01 NCR 1-67, April 3, 1995 refers to 
Volume 10, Issue 1, pages 1 through 67 of the North Carolina 
Register issued on April 3. 1995. 



FOR INFORMATION CONTACT: Office of Administrative Heanngs, ATTN: Rules Division, PO Drawer 27447, Raleigh, 
NC 27611-7447, (919) 733-2678. FAX (919) 733-3462. 



NORTH CAROLINA 




16C 

1 



Volume 1 O, Issue 
Pages 2027 • 



November 15,1 995 



This issue contains documents officially 
filed through October 31. 1995. 



Office of Administrative Hearings 

Rules Division 

424 North Blount Street (27601) 

PO Drawer 27447 

Raleigh, NC 27611-7447 

(919) 733-2678 

FAX (919) 733-3462 



IN THIS ISSUE 



PROPOSED RULES 
Administrative Hearings 

Rules Division 2160-2172 

Licensing Boards 

Acupuncture Licensing Board 2027 - 2028 

Auctioneers, Commission for 2028-2032 

Barber Examiners, Board of 2033 

Certified Public Accountant Examiners 2033 - 2043 

Dental Examiners. Board of 2043-2046 

Dietetics/ Nutrition. Board of ... 2046-2053 

Hearing Aid Dealers and Fitters Board 2053-2061 

Marital and Family Therapy Certification 

Board 2062-2068 

Nursing, Board of , 2068-2069 

Nursing Home Administrators, Board of ..... . 2069-2081 

Opticians, Board of 2081-2082 

Pharmacy, Board of 2085 - 2107 

Physical Therapy Examiners, Board of 2107-2111 

Practicing Pastoral Counselors, Examiners of 

Fee-Based 2082-2085 

Practicing Psychologist, Board of ... 2111 -2124 

Real Estate Commission .,......., 2123-2140 

Therapeutic Recreation Certification Board .... 2140-2143 

Veterinary Medical Board 2143-2155 

State Personnel 

Office of State Personnel 2155 - 2160 



IL RRC OBJECTIONS 2173-2180 



Julian Mann III, Director 

James R. Scarcella St., Deputy Director 

Molly Masich, Director of APA Services 

Ruby Creech, Publications Coordinator 

Teresa Kilpatrick, Editorial Assistant 

Jean Shirley, Editorial Assistant 



IIL CONTESTED CASE DECISIONS 

Index to ALJ Decisions 



2181-2195 



IV. CUMULATIVE INDEX 2197 2221 



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PROPOSED RULES 



TITLE 21 - OCCUPATIONAL LICENSING 
BOARDS 

CHAPTER 1 - NORTH CAROLINA 
ACUPUNCTURE LICENSING BOARD 



resolve the complaint by informal communication with the 
complainant and the acupuncturist complained of. If the 
secretary determines that the alleged violation is major, he 
shall assist the complainant in filing a formal complaint, if 
one has not already been filed. 



Notice is hereby given in accordance with G.S. 
150B-21.2 that the North Carolina Acupuncture 
Licensing Board intends to adopt rules cited as 21 NCAC I 
.0702 - .0704, .0706 - .0707. .0710 - .0711. 

Proposed Effective Date: February 1, 1996. 

A Public Hearing will be conducted at 2:00 p.m. on 
November 30, 1995 at the Management Concepts, Inc. , 
1418 Aversboro Road, Gamer, NC. 

Reason for Proposed Action: To adopt rules to establish 
administrative procedures. 

Comment Procedures: Any person may submit comments 
to the Board for 30 days after the meeting or speak orally to 
a Board representative at the meeting. 

Fiscal Note: These Rules do not affect the expenditures or 
revenues of state or local government funds. 

SECTION .0700 - ADMINISTRATIVE 
PROCEDURES 

.0701 RESERVED FOR FUTURE CODinCATION 

.0702 FILING COMPLAINTS 

(a) General. Any person who has reason to believe that 
a licensed acupuncturist has violated the laws governing 
acupuncture may file a complaint with the North Carolina 
Acupuncture Licensing Board. Complaints shall be filed 
with the secretary of the North Carolina Acupuncture 
Licensing Board at PO Box 25171. Asheville. NC 28813. 

(b) Form of Complaint. Complaints may be formal or 
informal, but must be in writing: 

(1) Informal Complaint. The Board shall consider 
any written communication, construed most 
favorably to the complainant, which appears to 
allege a violation of the laws governing acupunc- 
ture an informal complaint. 

(2) Formal Complaint. A complainant shall execute 
a formal complaint in writing under oath upon a 
form provided by the secretary. The complaint 
shall specify the statute or rule allegedly violated 
and shall contain a short statement of the acts or 
omissions constituting the alleged violation 
including the dates of said acts or omissions. 

(c) Secretary's Response to Complaints. The secretary 
shall review any complaint to determine whether a major or 
minor violation has been alleged. If the secretary deter- 
mines that the alleged violation is minor, he shall attempt to 



Statutory' Authority G. S. 90-454. 



.0703 



DETERMINATION OF PROBABLE 
CAUSE 

(a) General. Formal complaints shall be investigated by 
the North Carolina Acupuncture Licensing Board. The 
Board shall hold a hearing to determine whether there is 
probable cause to believe a violation of the laws governing 
acupuncture has occurred. 

£b) Notice of Hearing. The secretary shall provide notice 
of the probable cause hearing to the acupuncturist com- 
plained against by certified mail at least 15 days in advance 
of the hearing. 

(c) Conduct of Probable Cause Hearing. The probable 
cause hearing shall be informal, and the secretary may 
establish at his discretion such procedures as are necessary 
to facilitate examination of the evidence. The Board may 
consider evidence at the probable cause hearing which 
would not be admissible if offered at the hearing in a 
contested case. 

(d) Action by the Board. After examining the evidence 
presented at the probable cause hearing, the Board may 
dispose of each charge in the formal complaint as follows: 

(1) If no probable cause exists to believe that a 
violation of G.S. 90-456 has occurred, the 
charge may be dismissed. 

If the respondent admits the charge, he may be 
directed to cease and desist from commission of 
those acts which violate the provisions of G.S. 
90-456. 

If a charge is denied and probable cause is 
found, or if a charge, while admitted, is of such 
gravity as to make the imposition of punitive 
sanctions appropriate, the complaint shall be 
presented to the Board of Examiners for its 
decision on the merits in accordance with G.S. 
150B, Article 3A. 



(2) 



(3} 



Statutory' Authority' G. S. 90-456. 



.0704 INFORMAL PROCEEDINGS 

(a) In addition to formal hearings pursuant to G.S. 90- 
456. the Board may conduct informal proceedings in order 
to settle on an informal basis matters of dispute. A person 
practicing acupuncture pursuant to a license or other 
authority granted by the Board may be invited to attend a 
meeting with the Board or a committee of the Board on an 
informal basis to discuss any matter the Board deems 
appropriate. No public record of such proceeding shall be 
made nor shall any individual be placed under oath to give 



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2027 



PROPOSED RULES 



testimony. Matters discussed by a person appearing 
informally before the Board may, however, be used against 
such person in a formal hearing if a formal hearing is 
subsequently initiated. 

{b} As a result of such informal meeting, the Board may 
recommend that certain actions be taken by such person, 
may offer such person the opportunity to enter into a 
consent order which will be a matter of public record, may 
institute a contested case concerning such person, or may 
take other action as the Board may deem appropriate in each 
case. 

(c) Attendance at such an informal meeting is not re- 
quired and is at Uie sole discretion of the person so invited. 
A person invited to attend an informal meeting may be 
entitled to have counsel present at such meeting. 



license granted by it^ the licensee shall be given a written 
notice indicating the general nature of the charges, accusa- 
tion, or complaint made against him, which notice may be 
prepared by a committee or one or more members of the 
Board designated by the Board, and stating that such 
licensee will be given an opportunity to be heard concerning 
such charges or complaint at a time and place stated in such 
notice, or at a time and place to be thereafter designated by 
the Board, and the Board shall hold a hearing not less than 
30 days from the date of the service of such notice upon 
such licensee, at which such licensee may appear personally 
and through counsel, may cross examine witnesses and 
present evidence in his own behalf. 

Statutory Authority G.S. 90-454(1). 



Statutory Authority G.S. 150B-38(h). 

.0705 RESERVED FOR FUTURE CODIFICATION 

.0706 CONTTINUANCES 

Any person summoned to appear before the Board at a 
contested case hearing may seek to obtain a continuance of 
that hearing by filing with the Executive Secretary of the 
Board, as soon as the reason for continuance is known, a 
motion for continuance setting forth with specificity the 
reason the continuance is desired. Motions for continuances 
shall be ruled up>on by the President and Executive Secretary 
of the Board or in the absence of the President, by the 
Secretary and Executive Secretary. 

Statutory Authority G.S. 90-456; 150B-38(h). 

.0707 DISQUALinCATION FOR 
PERSONAL BIAS 

Any person summoned to appear before the Board at a 
contested case hearing may challenge on the basis of 
personal bias or other reason for disqualification the fitness 
and competency of any member of the Board to hear and 
weigh evidence concerning that person. Challenges shall be 
stated by way of motion accompanied by affidavit setting 
forth with specificity the grounds for such challenge and 
shall be filed with the Executive Secretary of the Board on 
a timely basis. Nothing contained in this Rule shall prevent 
a person appearing before the Board at a contested case 
hearing from making timely personal inquiry of members of 
the Board as to their knowledge of and personal bias 
concerning that person's case. 

Statutory Authority G. S. 90-456; 150B-38(h). 

.0708 RESERVED FOR FUTURE CODIFICATION 
.0709 RESERVED FOR FUTURE CODIFICATION 

.0710 HEARING BEFORE REVOCATION 
OR SUSPENSION OF A LICENSE 

Before the Board shall revoke, restrict or suspend any 



.0711 PROVISIONS FOR PETITION FOR 
A RULE CHANGE 

Each person desiring to petition for the adoption, amend- 
ment or repeal of a rule shall submit the following informa- 
tion to the Board: 

(1) draft of the proposed rule or amendment to a rule; 

(2) reasons for the proposal: 

(3) effect of the existing rule; 

(4) data supporting the proposal: 

(5) effect on existing practices in the area involved, 
including costs: 

(6) names of those most likely to be affected, with 
addresses if known: and 

(7) the name and address of the petitioner. 

TTie North Carolina Acupuncture Licensing Board shall 
render a decision regarding the denial of a petition or the 
initiation of rule-making proceedings. 

Statutory Authority G. S. 90-454(8). 

CHAPTER 4 - COMMISSION FOR 
AUCTIONEERS 

Notice is hereby given in accordance with G.S. 
150B-2L2 that the North Carolina Auctioneers Com- 
mission intends to amend rules cited as 21 NCAC 4B .0103, 
.0201 - .0202, .0403, .0505, .0601 - .0602. 

Proposed Effective Date: March 1, 1996. 

A Public Hearing will he conducted at 3:00 p.m. on 
January 20, 1996 at the Pinehurst Resort & Country Club, 
Carolina Vista Drive, Pinehurst, NC. 

Reason for Proposed Action: In addition to various 
technical changes, the Auctioneers Commission proposes this 
action in order to specify what it means to "conduct an 
auction. " Also, this action will address the continued 
problem of misleading and untruthful advertising. 



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PROPOSED RULES 



Comment Procedures: Interested persons may present oral 
or written comments at the Rule-Making Hearing. In 
addition, the record will be open for receipt of written 
comments from November 15, 1995 to January 20, 1996. 
Written comments not presented at hearing should be 
directed to Wayne Woodard. The proposed rules are 
available for public inspection and copies may be obtained 
at the Commission's offices at: 1313 Navaho Drive, Suite 
201. Raleigh, NC 27609. 

Fiscal Note: Theses Rules do not affect the expenditures or 
revenues of state or local government funds. 

SUBCHAPTER 4B - AUCTIONEER LICENSING 
BOARD 

SECTION .0100 - ORGANIZATION AND 
GENERAL PROVISIONS 

.0103 DEFINITIONS 

Whenever used in this Chapter: 

(1) "Auctioneers Law" or "licensing law" shall refer 
to G.S. 85B: 

(2) "Auctioneering" or "conduct of auction" or "con- 
duct of business" shall mean, in addition to the 
actual calling of bids, any of the following: 

(a) contracting for an auction or auctions. 

(b) accepting consignments of items for sale at 
auction. 

(c) advertising an auction, 

(d) offering items for sale at auction. 

(e) accepting payment and disbursing monies for 
items sold at auction, or 

(f) otherwise arranging, sponsoring, or managing an 
auction or auctions; 

(3) (3) "Board" shall mean the North Carolina Auc- 
tioneers Commission; 

(4) 0) "Minimum Bid" as used in auctions shall mean 
minimum opening bids. 

Statutory Authority G.S. 85B-1; 85B-3(f). 

SECTION .0200 - APPLICATION FOR 
LICENSE 

.0201 APPLICATION FORMS 

(a) Auctioneer. Each applicant for an auctioneer license 
shall complete an application form provided by the Board. 
This form shall be submitted to the Executive Director and 
shall be accompanied by: 

(1) one recent passport-type photograph for identifi- 
cation; 

(2) statements of the results of a local criminal 
history records search by the clerk of superior 
court (or equivalent official in other states) in 
each county where the applicant has resided and 
maintained a business within the immediate 



preceding 60 months (five years); 

(3) the proper fees, as required by 21 NCAC 4B 
.0202; 

(4) documentation of required schooling or experi- 
ence, as follows: 

(A) Applicants who base their application upon 
their successful completion of an approved 
school of auctioneering must submit a photo- 
static copy of their diploma or certificate of 
successful completion. Applicants who base 
their application upon their successful comple- 
tion of an approved school of auctioneering 
must have successfully completed this school 
within the previous five years, or if completed 
more than five years before, the applicant must 
submit documentation verifying the applicant's 
active lawful participation in auctions within 
the two years preceding the date of applica- 
tion. 

(B) Applicants who base their application upon 
their successful completion of an apprentice- 
ship must submit a log which was maintained 
and completed during the apprenticeship period 
which details the exact hours and dates on 
which they obtained apprenticeship experience, 
with each entry being verified and signed by 
their supervising auctioneer. A minimum of 
100 hours of experience during the apprentice- 
ship two-year period must be obtained. Not 
less than 25 of the total hours accumulated 
must be attributable to bid calling and not less 
than 50 hours must be attributable to working 
as a ring man. ring person, drafting and nego- 
tiating contracts, appraising merchandise, 
advertising, clerking and cashiering, with not 
less than five hours of accumulated experience 
documented for each category. An apprentice 
who applies for an auctioneer license under 
this subsection must submit his application and 
supporting documentation and obtain a passing 
score on the auctioneer exam prior to the 
expiration of his apprentice auctioneer license. 

(5) Non-resident applicants must also submit a 
properly completed "Designation of Agent for 
Service of Process Form" with notarized signa- 
ture and notarial seal affixed. 

(b) Non-Resident Reciprocal Auctioneer. Each 
non-resident applicant for auctioneer license, who applies 
for a North Carolina license pursuant to G.S. 85B-5 shall 
complete an application form provided by the Board. This 
form shall be submitted to the Executive Director and shall 
be accompanied by: 

(1) one recent passport-type photograph for identifi- 
cation; 

(2) statements of the results of a local criminal 
history records search by the clerk of superior 
court (or equivalent official) in each county 



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PROPOSED RULES 



where the applicant has resided and maintained 
a business within the immediate preceding 60 
months (five years): 

(3) the proper fees, as required by 21 NCAC 4B 
.0202: 

(4) a statement of good standing from the licensing 
board or Commission of each and even,' jurisdic- 
tion where the applicant holds an auctioneer, 
apprentice auctioneer or auction firm license: 
and 

(5) a properly completed "Designation of Agent for 
Service of Process Form" with notarized signa- 
ture and notarial seal affixed. 

(c) Apprentice Auctioneer. Each applicant for an 
apprentice auctioneer license shall complete an application 
form provided by the Board. This form shall be submitted 
to the Executive Director and shall be accompanied by: 

(1) one recent passport-type photograph for identifi- 
cation: 

(2j statements of the results of a local criminal 

history records search b\- the clerk of superior 
court (or equivalent official) in each county 
where the applicant has resided and maintained 
a business within the immediate preceding 60 
months (five >ears): 

(3) the proper fees, as required by 21 NCAC 4B 
.0202: 

(4) the signature, as designated on the application 
form, of the licensed auctioneer who will be 
supervising the apprentice auctioneer: 

(5") a written statement of the proposed supervisor's 
background and experience in the auction profes- 
sion to include the number and types of auctions 
conducted or participated in annually: and 

(6) if applicant is a non-resident, a properly com- 
pleted "Designation of Agent for Service of 
Process Form" \».ith notarized signature and 
notanal seal affixed. 

(d) Auction Firms. Each applicant for an auction firm 
license shall complete an application form provided by the 
Board. This form shall be submitted to the Executive 
Director and shall be accompanied by: 

(1) statements of the results of a local criminal 
history records search by the clerk of superior 
court (or equivalent official) in each count)' 
where an\' principal and designated person of the 
auction firm has resided and maintained a busi- 
ness within the immediate preceding 60 months 
(five \'ears); 

(2) the proper fees, as required by 21 NCAC 4B 
.0202: 

(3) a certified copy of any applicable Articles of 
Incorporation, Partnership Agreement, and 
Assumed Name Certificate; 

(4) a statement of good standing from the licensing 
board or Commission of each jurisdiction where 
the applicant firm and any principal and desig- 



nated person of such firm holds an auctioneer 

license of any type: and 
(5) if applicant firm is a non-resident, a properly 

completed "Designation of Agent for Service of 
Process Form" (one each for the auction firm 
and for each principal and designated person of 
the firm) with notarized signature and notarial 
seal affixed and, if a corporation, appropriate 
corporate seal and corporate secretary's signa- 
ture affixed. 

Stamory Authority G.S. 85B-3(f): 85B-4; 85B-4(d); 85B-5. 

.0202 FILING AND FEES 

(a) Properly completed applications must be filed (re- 
ceived, not postmarked) in the Board office on or before the 
filing date dates established by the Board for a f schodulcd 
e xamination and must be accompanied by all required 
documents. 

(b) License fees are as follows: 

(1) New auctioneer license for an applicant who did 
not sen.'e an apprenticeship $125.00 
This includes a $75.00 annual license fee: 
$25.00 application fee: and $25.00 examination 
fee. 

(2) New auctioneer license for an apprentice auc- 
tioneer $100.00 
This includes a $75.00 annua! license fee: and $ 
25.00 examination fee. 

(3) Renewal of auctioneer license $ 75.00 

(4) New apprentice auctioneer license $ 50.00 
This mcludes a $25.00 license fee and a $25.00 
application fee. 

(5) Renewal of apprentice auctioneer 

license $ 25.00 

(6) New auction firm license 

(no examination) $100.00 

This includes a $75. (X) annual license fee; and 
$25.00 application fee. 

(7) New auction firm license 

(examination) $125.00 

This includes a $75.00 annual license fee; 
$25.00 application fee: and $25.00 examination 
fee. 

(8) Renewal of an auction firm license $ 75.00 

(9) Application and processing fee for conversion of 
non-resident reciprocal license to in-state 
license $ 25.00 

( 10) Reinstatement of lapsed license fee $ 25.00 

(c) Fees shall be paid in the form of a cashier's check, 
certified check or mone}' order made payable to the North 
Carolina Auctioneer Licensing Board. Checks drawn on 
escrow or trust accounts are not accepted. However, 
personal checks may be accepted for payment of renewal 
fees. 

Statutory' Authority- G.S. 85B-4.1: S5B-6. 



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PROPOSED RULES 



SECTION .0400 - LICENSING 

.0403 APPRENTICE AUCTIONEER 
LICENSE 

(a) An apprentice auctioneer's license is valid only while 
he is associated with and supervised by a licensed auctioneer 
assigned by the Board. In order to be assigned by the 
Board as a supervisor, the Board must receive a written 
notice, signed by the prospective sup)ervisor and the appren- 
tice, requesting that the licensed auctioneer be assigned as 
a supervisor for the apprentice. Upon receipt of such a 
request, the Board shall evaluate the requested assignment 
and such requested assignment may be denied by the Board 
if the prospective supervisor fails to possess a minimum of 
five years of active experience in the auctioneering profes- 
sion or an equivalent combination of training and experience 
or other good cause shown . Upon termination of the 
association between the supervisor and the apprentice, the 
supervisor shall immediately notify the Board in writing, 
showing the date and cause of termination. 

(b) The supervising auctioneer must be on the premises 
of the sale location at any and all times that an apprentice 
auctioneer is engaged in bid calling. Additionally, the 
supervising auctioneer shall be responsible for supervising 
the apprentice on a regular basis and ensuring that the 
apprentice auctioneer conforms with the auctioneer law and 
Rules promulgated by the Board. 

(c) Any Ucensed auctioneer who undertakes the sponsor- 
ship of an apprentice auctioneer shall ensure that the 
apprentice receives proper training, supervision, and 
guidance in the following: 

(1) A practical and working knowledge of the 
auction business including fundamentals of 
auctioneering, contract drafting, bid calling, 
basic mathematical computations, advertising, 
and settlement statements; 

(2) The provisions of the licensing law; 

(3) The Rules of the Board; and 

(4) The preparation and maintenance of written 
agreements, record books, and other sales 
records as required by law. 

(d) Apprentices are prohibited from conducting or 
contracting to conduct any auction without the prior express 
written consent of the sponsor. No sponsor shall authorize 
an apprentice to conduct or contract to conduct an auction, 
to act as principal auctioneer or handle any funds related to 
an auction unless the sponsor has determined that the 
apprentice has received adequate training to do so. An 
apprentice auctioneer may work under only one licensed 
auctioneer at any given time. 

(e) The sjxjnsor shall be responsible for ensuring that the 
apprentice compUes with all of the laws, laws and Rules as 
they apply to any auction related transaction approved by the 
sponsor. 

(0 An apprentice auctioneer is also required to notify the 
Board, in writing, immediately upon termination of his 



association with his supervising auctioneer, at which time 
his license will be immediately held in an inactive status. 
If an apprentice auctioneer's supervising auctioneer's license 
has been suspended, revoked, or placed on probation the 
apprentice auctioneer's license will be immediately held in 
an inactive status. Once in an inactive status, an apprentice 
auctioneer shall not conduct or contract to conduct any 
auction. An apprentice auctioneer may only remain in this 
inactive status for a maximum of 90 days. If the apprentice 
auctioneer retains another sponsor approved by the Board 
within this 90 day period, the apprentice auctioneer's license 
will not be deemed to have lapsed under 21 NCAC 4B 
.0402(d). 

Statutory Authority G.S. 85B-3(f); 85B-4. 

SECTION .0500 - SCHOOLS OF 
AUCTIONEERING 

.0505 GROUNDS FOR APPROVAL: 

SUSPENSION OR REVOCATION 

(a) The approval of a school by the Board shall be valid 
for a period of two years. Each a pproved school shall be 
evaluated for reapproval prior to the expiration of the two 
year period. 

£b} The Board may deny, suspend or revoke the approval 
of any school when it finds that the school has failed to 
meet or to continuously maintain any requirement, standard 
or procedure of this Section. Section .0500. Additionally, 
the Board may deny, suspend or revoke the approval of any 
school upon a finding that any information required under 
this Section .0500 was knowingly falsified or misrepre- 
sented. 

Statutory Authority G.S. 85B-3(f); 85B-4(d). 

SECTION .0600 - GENERAL AUCTIONEERING 

.0601 CHANGE OF ADDRESS OR 

BUSINESS NAME OR OWNERSHIP 

(a) All licensees shall notify the Board in writing of each 
change or addition of residence or business address (includ- 
ing mailing address) and change of trade name, assumed 
name, or combination of names under which the licensee 
conducts business related to auctions. 

(b) In the case of a corporate licensee, said licensee shall 
immediately notify the Executive Director of any change in 
the directors or officers of the corporation and such new 
director(s) or officer(s) shall comply with the provisions of 
Subparagraphs (d)(1), (4) and (5) in Rule .0201 of this 
Subchapter. If the new directors or officers have a 5 1 % or 
greater controlling interest in the corporation, the firm 
license shall be retired and the firm must apply for a new 
license. 

(c) In the case of a partnership Ucense, said licensee shall 
immediately notify the Executive Director of any change in 
partners and such new partners shall comply with the 



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PROPOSED RULES 



provisions of Subparagraphs (d)(1), (4) and (5) in Rule 
.0201 of this Subchapter. 

(d) In the case of an auction firm license, the licensee 
shall immediately notify the Executive Director of any 
change in designated person(s) and such designated persons 
shall comply with the provisions of Subparagraphs (d)(1), 
(4) and (5) in Rule .0201 of this Subchapter. 

(e) Any change in address, business name or ownership 
required by these Rules must be reported within 10 days of 
the occurrence of such change. 

Statutory Authority G.S. 85B-3(f). 

.0602 ADVERTISING 

(a) In all advertisements relating to an auction, the 
auctioneer's, apprentice auctioneer's or auction firm's name 
and license number shall be clearly given. If an auctioneer 
is working for or in conjunction with an auction firm, such 
relationships must be disclosed and both license numbers 
shall be clearly given. A general advertisement which does 
not concern a specific sale(s) and which does not list sale 
dates, times or locations, generally referred to as trolling or 
holding advertisements, is not subject to any identification 
requirement. A licensee may advertise under a name, 
assumed name, trade name, or combination of names, only 
if proper written notice has been previously filed with the 
Board. The licensee shall also notify the Board of all 
certificates filed with any county register of deeds in 
compliance with G.S. 66-68. 

(b) Any licensee who advertises an "Estate Sale" must 
specifically disclose, in all advertisement materials, whether 
it is the estate of a living or deceased person. Before 
conducting an auction as an "estate sale", the majority of 
items in the sale must come from the estate of the living or 
deceased person(s). Other items not related to or in an 
estate may be sold with an estate if specifically disclosed at 
or before the time of the auction. 

(c) Any licensee who advertises a "Bankruptcy Sale" or 
that any item is from a bankruptcy action must specifically 
disclose, in all advertisement materials, the name of the 
bankrupt party and the date the bankruptcy action was 
closed. Before conducting an auction as a "bankruptcy 
sale", the majority of the items in the sale must come from 
the bankruptcy of one or more parties. Other items not 
related to or from a bankruptcy action may be sold with 
items from a bankruptcy action if specifically disclosed at or 
before the time of the auction. 

(d} (e> It shall be a violation of these Rules to advertise 
an item, either real or personal, as "absolute" or "without 
reserve" if the item is subject to confirmation, minimum 
bid, or any other condition of sale. Before advertising an 
auction as absolute or without reserve, the majority of items 
in the sale must be seW offered for sale absolute or without 
reserve. Items that are not absolute may be included in the 
auction provided they are specifically designated as such in 
all announcements or advertisements. 

(e) fd) It shall be a violation of these Rules to advertise 



any auction using such descriptive words as "Urgent", 
"Emergency", "Distress" or any other word which 
connotates liquidation of assets or that the buyers will, for 
some extraordinary reason, be in a position to reap some 
unusual bargain without specifically disclosing, in the 
written advertisement in a print size equal to the descriptive 
word , the reason that the sale is "urgent", the nature of the 
"emergency" or the cause of the "distress", etc. 

(f) It shall be a violation of these Rules to advertise any 
auction using such descriptive words as "Seized", "Confis- 
cated," "Forfeited" or any other word which connotes a 
governmental action whereby items are seized or taken by 
a government department, agency or commission and 
released or sold or that the buyers will, for some govern- 
mental reason, be in a position to reap some unusual bargain 
without specifically disclosing, in the written advertisement 
in a print size equal to the descriptive word, the exact nature 
of the government action. 

(g) It shall be a violation of these Rules to advertise any 
item as being from an "estate" or a "bankruptcy", or from 
an "urgent", "emergency", "distress". " seized " , "confis- 
cated", "forfeited" or similar sale, unless the consignor of 
the item(s) to be sold is the original owner of the item(s), or 
a federal, state or local department, agency or commission 
charged with disposing of the items(s), and consigned the 
item(s) directly to the advertised sale. 

(h) {^ It shall be a violation of these Rules to: 

(1) Reference the U.C.C. or any other uniform act 
or federal or state law in any advertisement 
unless such act or law is required, by law, to be 
referenced; 

(2) Reference or mention any federal, state or local 
department, agency or commission in any adver- 
tisement unless specifically required by law to 
do so or unless prior written approval is re- 
ceived from such department, agency or com- 
mission ; or 

(3) Otherwise connote in any advertisement that the 
auction is under the auspices of, at the direction 
of or required by federal or state law or act or 
a federal, state or local agency or commission 
and that the buyers will, for some legal or 
governmental reason, be in a position to reap 
some unusual bargain. 

£i} (f) It shall be a violation of these Rules to advertise for 
sale items which the auctioneer/firm does not actually plan 
intend to offer for sale at the advertised auction. 

(j) (g) It shall be a violation of these Rules for an 
auctioneer or auction firm to permit its name or license 
number to appear on any advertisement for an auction 
without reviewing the contents of the advertisement prior to 
its publication to ascertain its compliance with applicable 
law and Rules. 

Statutory Authority G.S. 85B-1: 85B-3(f): 85B-8(a)(4). 



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PROPOSED RULES 



CHAPTER 6 - BOARD OF BARBER 
EXAMINERS 

Notice is hereby given in accordance with G.S. 
150B-21.2 that the NC State Board of Barber Examin- 
ers intends to amend rules cited as 21 NCAC 6H .0002; 6J 
.0002; 6K .0003. 

Proposed Effective Date: February 1, 1996. 

Instructions on How to Demand a Public Hearing (must 
be requested in writing within 15 days of notice): All persons 
wishing to demand a hearing should contact Donna Pair at 
3000 Industrial Drive, Bldg. G. Raleigh, NC 27609 before 
December 15, 1995. 

Reason for Proposed Action: 

21 NCAC 6H .0002 is to comply with the General Assem- 
bly 's passing of House Bill 85. 

21 NCAC 6J .0002 and 21 NCAC 6K .0003 is to improve 
upon the no show rate of students at the examinations. 

Comment Procedures: Written comments and questions 
should be directed to Donna Pair, 3000 Industrial Drive, 
Bldg. G, Raleigh, NC 27609, (919) 715-5000. 

Fiscal Note: These Rules do not affect the expenditures or 
revenues of state or local government funds. 

SUBCHAPTER 6H - BARBER SCHOOL OWNERS 
AND MANAGERS 

.0002 STUDENT-INSTRUCTOR RATIO 

(a) The student-instructor ratio at a barber school shall be 
as follows: 

(1) Two full time instructors for the first 50 students 
enrolled; 

(2) Three full time Instructors if the student enroll- 
ment exceeds 50; 

(3) Four full time instructors if the student enroll- 
ment exceeds 75; 

(4) One additional instructor for each additional 25 
students in excess of 100. 

(b) When in need of an instructor of barbering in order 
to maintain the student-instructor ratio, a barber school 
manager shall have a maximum of 30 days in which to bring 
the school into compliance with this Rule. 

(c) The provisions of Paragraph (a) of this Rule shall not 
apply to schools that are nonprofit educational institutions 
with a curriculum and continuing education support system 
established with a State university or community college. 
Such schools shall have at least one instructor for every 20 
enrolled students, provided the one instructor may not 
conduct classroom lectures and study periods, or lectures 
and demonstrations on practical work, during the same time 
the one instructor is providing students with supervised 
practice in barbering. Schools that are subject to this 



Paragraph shall provide to the Board written evidence from 
the Internal Revenue Service of the school's nonprofit 
educational institution status and written evidence from a 
State university or community college describing the 
curriculum and continuing education support system estab- 
lished therewith. 

Statutory Authority G.S. 86A-22. 

SUBCHAPTER 6J - APPRENTICE BARBERS 

.0002 FORFEITURE OF FEE 

The examination fee paid by an apprentice shall be 
forfeited if the applicant fails to app e ar for the e xaminati eft 
to pay all monies owed for test and license by the tenth day 
before the exam after the Board has notified him of the 
Board's acceptance of his application and of the date and 
time of the next examination. A new fee shall be required 
to sit for the examination after forfeiture. 

Statutory Authority G. S. 86A-25. 

SUBCHAPTER 6K - REGISTERED BARBER 

.0003 FORFEITURE OF FEE 

The examination fee paid by a registered barber applicant 
shall be forfeited if the applicant fails to app e ar for tho 
oxamimtion to pay all monies owed for test and license by 
the tenth day before the exam after the Board has notified 
him of the Board's acceptance of his application and of the 
date and time of the next examination. A new fee shall be 
required to sit for the examination after forfeiture. 

Statutory Authority G.S. 86A-25. 

CHAPTER 8 - BOARD OF CERTIFIED 
PUBLIC ACCOUNTANT EXAMINERS 

Notice is hereby given in accordance with G.S. 
150B-21.2 that the North Carolina State Board of CPA 
Kxaminers intends to amend rules cited as 21 NCAC 8A 
.0301; 8F .0103; 8G .0404, .0409; 81 .0004; 8J .0001, 
.0006; 8M .0102 - .0103, .0206 - .0207, .0304, .0401 - 
.0402 and 8N .0306. 

Proposed Effective Date: February 1, 1996. 

A Public Hearing will be conducted at 9:00 a.m. on 
December 18, 1995 at NC State Board of CPA Examiners, 
1101 Oberlin Road, Ste. 104, Raleigh, NC 27605. 

Reason for Proposed Action: 

21 NCAC 8 A .0301 - Define a term that already exists in 
the Board rules and was previously defined in the rules prior 
to 1994. 



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2033 



PROPOSED RULES 



21 NCAC 8F .0103 - Stagger receipt of applications for the 

CPA exam in order to better utilize staff time and allow a (3) 

more thorough review of initial applications. 

21 NCAC 8G .0404 - Reflect a change forwarded by the (4) 

AlCPA regarding fields of study of the CPE curriculum. 

21 NCAC 8G .0409 - Clarify that a CPE course should be 

for CPAs in order to receive credit for instruction. 

21 NCAC 81 .0004 - Remove modification of discipline as 

a requirement for reinstatement from forfeiture. 

21 NCAC 8J .0001 - Add language that clarifies the 

deadline for renewals and the reinstatement process after 

forfeiture. 

21 NCAC 8J .0006 - Clarify the reinstatement process after 

forfeiture. (5) 

21 NCAC 8M .0102 - Clarify' the SQR documentation 

process and remove a Note that is no longer necessary. 

21 NCAC 8M .0103 - Remove a Note that is no longer 

necessary. 

21 NCAC 8M .0206, .0207, .0304 - Correct a reference 

within the rules. 

21 NCAC 8M .0401 - Qarify the duties of the SQR Commit- (6) 

tee. 

21 NCAC 8M .0402 - Correct a reference within the rule. O) 

21 NCAC 8N .0306 - Clarify' the requirements for use of 

specialty designations. (8) 

Comment Procedures: Atry person interested in these rules 

may present written comments to the Board office no later (") 

than 8:30 a.m. on December 18, 1995. Anyone planning to 

attend or present oral comments relevant to the action 

proposed at the rule-making hearing should notify' the 

receptionist at the Board office by 5:00 p.m. on December (10) 

/, 1995. Those individuals wishing to make oral comments 

should indicate which proposals they are speaking to and 

whether they will speak in favor or against the proposal. 

Anyone speaking on the proposal will be limited to a total of ( 1 1 ) 

10 minutes. 

Fiscal Note: These Rules do not affect the expenditures or 
revenues of state or local government funds. 

(12) 



SUBCHAPTER 8A - DEPARTMENTAL RULES 
SECTION .0300 - DEFINITIONS 

.0301 DEFINITIONS 

(a) The definitions set out in G.S. 93-l(a) shall apply (13) 

when those defined terms are used in 21 NCAC 8. 

fb) In addition to the definitions set out in G.S. 93-l(a), 
the following definitions and other definitions in this Section 
apply when these terms are used in 21 NCAC 8: 

(1) "Active," when used to refer to the status of a 
person, describes a person who possesses a 
North Carolina certificate of qualification and (14) 
who has not otherwise been granted "Retired," (15) 
"Inactive," or "Conditional" status; (16) 

(2) "AlCPA" means the American Institute of 



Certified Public Accountants; 

"Applicant" means a person who has applied to 

take the CPA examination; 

"Attest service" means providing: 

(A) any audit, 

(B) any review of a financial statement, 

(C) any compilation of a financial statement when 
the CPA expects, or reasonably might expect, 
that a third party will use the compilation and 
the CPA does not disclose a lack of independ- 
ence, and 

(D) any examination of prospective financial infor- 
mation; 

"Audit" means an examination of financial 
statements of a person by a CPA, conducted in 
accordance with generally accepted auditing 
standards, to determine whether, in the CPA's 
opinion, the statements conform with generally 
accepted accounting principles or, if applicable, 
with another comprehensive basis of accounting; 
"Board" means the North Carolina State Board 
of Certified Public Accountant Examiners; 
"Calendar year" means the 12 months beginning 
January 1 and ending December 31; 
"Candidate" means a person whose application 
to take the CPA examination has been accepted 
and who may sit for the CPA examination; 
"Client" means one who orally or in writing 
agrees with a person or firm holding out pursu- 
ant to 21 NCAC 8A .0308 to receive any ser- 
vices included in 21 NCAC 8A .0307; 
"Commission" means compensation, except a 
referral fee, for recommending or referring any 
product or service to be supplied by another 
person; 

"Compilation of a financial statement" means 
presenting in the form of a financial statement 
information that is the representation of any 
other person without the CPA's undertaking to 
express any assurance on the statement; 
"Conditional," when used to refer to the status 
of a person, describes a person who holds a 
North Carolina certificate of qualification under 
certain conditions as imposed by the Board, such 
as additional requirements for failure to com- 
plete the required CPE hours in a calendar year; 
"Contingent fee" means a fee established for the 
performance of any service pursuant to an 
arrangement in which no fee will be charged 
unless a specified finding or result is attained, or 
in which the amount of the fee is otherwise 
dependent upon the finding or result of such 
service; 

"CPA" means certified public accountant; 
"CPE" means continuing professional education; 
"Disciplinary action" means revocation or sus- 
pension of, or refusal to grant, membership, or 



2034 



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November 15, 1995 10:16C 



PROPOSED RULES 



(A) 
(B) 

(C) 



(D) 



the imposition of a reprimand, probation, con- (30) 

structive comment, or any other penalty or 
condition; 

(17) "Disclosure" means a written statement of the 
service to be rendered with the contingent fee to 

be charged and which is dated and signed by the (31) 

client; 

(18) "Examination of prospective financial informa- 
tion" means an evaluation by a CPA of: 

a forecast or projection, (32) 

the support underlying the assumptions in the 
forecast or projection, 

whether the presentation of the forecast or 
projection is in conformity with AICPA pre- 
sentation guidelines, and 
whether the assumptions in the forecast or 
projection provide a reasonable basis for the 
forecast or projection; 

(19) "FASB" means the Financial Accounting Stan- 
dards Board; (33) 

(20) "Firm" means an individual proprietor, a part- 
nership, a professional corporation, a profes- 
sional Limited liability company, or a registered (34) 
limited liability partnership; 

(21) "Forecast" means prospective financial state- 
ments that present, to the best of the responsible 
party's knowledge and belief, an entity's ex- 
pected financial position, results of operations, 
and changes in financial position or cash flows 
that are based on the responsible party's assump- 
tions reflecting conditions it expects to exist and 
the course of action it expects to take; 

(22) "GASB" means the Governmental Accounting 
Standards Board; 

(23) "Inactive, " when used to refer to the status of a 

person, describes one who has voluntarily (A) 

surrendered a certificate of qualification and who 

does not use the title "certified public accoun- (B) 

tant" nor does he or she allow anyone to refer to 

him or her as a "certified public accountant," 

and neither he or she nor anyone else refers to 

him or her in any representation as described in 

21 NCAC 8A .0308(b). Unrevoked inactive (35) 

certificates shall be kept by the Board until 

change of status of the former certificate holder; (36) 

(24) "IRS" means the Internal Revenue Service; 

(25) "License year" means the 12 months beginning 
July 1 and ending June 30; 

(26) "Member of a firm" means any CPA who has 
an ownership interest in a CPA firm including 
owners, partners, and shareholders; 

(27) "NASBA" means the National Association of 
State Boards of Accountancy; 

(28) "NCACPA" means the North Carolina Associa- (37) 
tion of Certified Public Accountants; 

(29) "North Carolina office" means any office physi- 
cally located in North Carolina; (38) 



"Participating firm" means a firm participating 
in the SQR program. It does not include firms 
exempt by reason of 21 NCAC 8M .0102(a) or 
deemed in compliance pursuant to 21 NCAC 8M 
.0104; 

"Person" means any natural person, corporation, 
partnership, professional limited liability com- 
pany, registered limited liability partnership, 
unincorporated association, or other entity; 
"Projection" means prospective financial state- 
ments that present, to the best of the responsible 
party's knowledge and belief, given one or more 
hypothetical assumptions, an entity's expected 
financial position, results of operations, and 
changes in financial position or cash flows that 
are based on the responsible party's assumptions 
reflecting conditions it expects would exist and 
the course of action it expects would be taken 
given such hypothetical assumptions; 
"Referral fee" means compensation for recom- 
mending or referring any service of a CPA to 
any person; 

"Retired," when used to refer to the status of a 
person, describes one possessing a North Caro- 
lina certificate of qualification who does not 
receive any earned compensation for current 
personal services in any job whatsoever; how- 
ever, this does not preclude volunteer services 
for which the retired CPA receives no direct nor 
indirect compensation so long as the retired CPA 
does not sign any documents, related to such 
services, as a CPA. Limited exemptions may be 
granted in the discretion of the Board only In the 
following instances when the applicant verifies 
no intent to return to active status and either: 
the applicant performs no personal services 
related to the field of accounting, or 
the applicant is not providing accounting 
services, is 70 years of age or more, and 
agrees not to hold himself or herself out as a 
CPA or use the title in connection with any 
type of service provided to the public; 
"Revenue Department" means the North Caro- 
lina Department of Revenue; 
"Review" means to perform an inquiry and 
analytical procedures that permit a CPA to 
determine whether there is a reasonable basis for 
expressing limited assurance that there are no 
material modifications that should be made to 
financial statements in order for them to be in 
conformity with generally accepted accounting 
principles or, if applicable, with another com- 
prehensive basis of accounting; 
"SQR Advisory Committee" means the State 
Quality Review Advisory Committee to the 
Board; 
"SQR Program" means the State Quality Review 



10:16C 



NORTH CAROLINA REGISTER 



November 15, 1995 



2035 



PROPOSED RULES 



(39) 

(40) 

(41) 
Li21 



(43 



Program of the North Carolina State Board of 
Certified Public Accountant Examiners; 
"SQR Review team" means that team of CPAs 
which reviews a firm pursuant to the require- 
ments of Subchapter 8M. A review team may 
be comprised of one or more members; 
"SQR Review team captain" means that member 
of a review team who is responsible for the 
review and supervises the other members of the 
team; 

"SQR Reviewer" means a member of a review 
team including the review team captain; ftftd 
"Suspension" means a revocation for a specified 
period of time. A CPA may be reinstated after 
a specific period of time i_f the CPA has met all 
conditions imposed by the Board at the time of 
suspension; and 

f43^"Trade name" means a name used to desig- 
nate a business enterprise. 



Statutory Aurhonn- G.S. 93-1: 93-1 2fSc). 

SUBCHAPTER 8F - REQUIREMENTS FOR 

CERTIFIED PUBLIC ACCOU>rrANT 

EXAMINATION ANT) CERTIFICATE 

APPLICANTS 

SECTION .0100 - GENERAL PROVISIONS 

.0103 FILING OF EXAMINATION 
APPLICATIONS AND FEES 

(a) All applications for CPA examinations must be filed 
with the Board, accompanied by a check for the amount of 
the examination fee and made payable to the "Board of CPA 
Examiners." The Board sets the fee for each examination 
at the amount that enables the Board to recover its costs in 
administering the examination. If a check fails to clear the 
bank, the application shall be deemed incomplete and 
returned. 

(b) Completed initial applications shall be postmarked 
with proper postage not later than the last day of January for 
the spring examination and not later than the last day of July 
for the fall examination. Completed re-exam applications 
shall be postmarked with proper postage not later than the 
last day of February' for the spring examination, examination 
and not later than the last day of August for the fall e xami 
nation, unlo s s examination. If one of those dates falls on a 
weekend or federal holiday, in which oaso the application 
must be postmarked or received in the Board office on the 
next business day. Only a U.S. Postal Service cancellation 
will be considered as the postmark. 

(c) The initial application filed to take the examination 
must include supporting documentation demonstrating that 
all legal requirements have be^n met. such as: 

(1) minimum legal age; 

(2) education: 

(3) experience, if required m order to qualify for the 



(4) 
(5) 



examination; and 
good moral character. 

Any person bom outside the United States must 
furnish to the Board office evidence of citizen- 
ship; evidence of resident alien status; or 

(A) other bona fide evidence that the applicant is 
legally allowed to remain in the United States 
for the purposes of becoming a U.S. citizen, 
or 

(B) a notarized affidavit of intention to become a 
U.S. citizen, or 

(C) evidence that the applicant is a citizen of a 
foreign jurisdiction which extends to citizens 
of this state like or similar privileges to be 
examined. 

(d) Official transcripts (originals - not photocopies) signed 
by the college registrar and bearing the college seal are 
required to prove education and degree requirements. A 
letter from the college registrar of the school may be filed 
as documentation that the applicant has met the graduation 
requirements if the degree has not been awarded and posted 
to the transcript. However, no examination grades shall be 
released until an official transcript is filed confirming the 
information supplied in the college registrar's letter. All 
applicants submitting transcripts from foreign schools for 
consideration of degree and/or of meeting accountancy 
course requirements must have had the transcript(s) evalu- 
ated by a Board-approved educational evaluation service. 
Applicants are responsible for determining that their 
transcripts contain all information required by these Rules. 

(e) If experience is required to qualify for examination, 
affidavits must be prepared and signed by employers on 
forms supplied by the Board. 

(f) In order to document good moral character as required 
by Subparagraph (c)(4) of this Rule, three certificates of 
good moral character signed by persons not related by blood 
or marriage to the applicant shall accompany the application. 

(g) All applications for re-examination must be accompa- 
nied by three new certificates of moral character. No 
additional statements and affidavits regarding experience and 
education shall be required for applications for 
re-examination. 

(h) An applicant shall include as part of any application 
for the CPA examination a statement of explanation and a 
certified copy of court records if the applicant has been 
convicted or found guilty of or pleaded nolo contendere to 
any felony, or to any other criminal offense of which an 
essential element is: 

(1) dishonesty, deceit, or fraud; 

(2) violation of a federal or state tax law; or 

(3) commission of any act or conduct discreditable 
to the accountancy profession in violation of the 
Rules of Professional Ethics and Conduct for 
Certified Public Accountants, unless such infor- 
mation has been furnished in a previous applica- 
tion filed with the Board. 

(i) If an applicant has been denied any license by any 



2036 



XORTH CAROLINA REGISTER 



November 15, 1995 10:16C 



PROPOSED RULES 



state or federal agency, the applicant shall include as part of 
the application for the CPA examination a statement 
explaining such denial. An applicant shall include a 
statement of explanation and a certified copy of applicable 
license records if the applicant has been registered with or 
licensed by a state or federal agency and has been disci- 
plined by that agency. 

(j) Two recent identical photographs must accompany the 
application for the CPA examination. TTiese photographs 
shall have been taken within the last six months. The (2) 

photographs shall be of the applicant alone, 2x2 inches in 
size, with an image size from the bottom of the chin to the 
top of the head, including hair, of between 1 and 1-3/8 
inches. Photographs must be clear, front view, full face, 
taken in normal street attire without a hat or dark glasses, 
and printed on thin paper with a plain light background. 
They must be capable of withstanding a mounting tempera- 
ture of 225 degrees Fahrenheit (107 degrees Celsius). They 
may be in black and white or in color. Snapshots, most 
vending-machine prints, and magazine or fiill-length 
photographs are unacceptable. Photographs retouched so 
that the applicant's app)earance is changed are unacceptable. 
Applicants shall write their names on the back of their 
photos. 

(k) If an applicant's name has legally changed and is 
different from the name on any transcript or other document 
supplied to the Board, the applicant shall furnish copies of 
the documents legally authorizing the name change. 

(3) 
Statutory Authority G.S. 93-12(3): 93-12(4); 93-12(5). 

SUBCHAPTER 8G - CONTINUING 
PROFESSIONAL EDUCATION (CPE) 

SECTION .0400 - CPE REQUIREMENTS 

.0404 REQUIREMENTS FOR CPE CREDIT 

(a) A CPA will not be granted CPE credit for a course 
unless the course: 

(1) is in one of the six fields of study recognized by 

the Board and set forth in Paragraph (b) of this 
Rule; 

is actually developed by an individual who is 
qualified to teach the subject matter of the 
course; 

uses appropriate instructional techniques; and 
uses current and accurate materials. 

(b) The six fields of study recognized by the Board are 

based on the subject areas that are set forth in the AICPA (4) 

National CPE Curriculum. The six fields are accounting 
and auditing, advisory consulting services, management, 
personal development, specialized knowledge and applica- 
tions, and taxation. 

(1) The accounting and auditing field of study 
includes accounting and financial reporting 
subjects, the body of knowledge dealing with (5) 

recent pronouncements of authoritative account- 



(2) 



(3) 
(4) 



ing principles issued by the standard-setting 
bodies, and any other related subject generally 
classified within the accounting discipline. It 
also includes auditing subjects related to the 
examination of financial statements, operations 
systems, and programs; the review of internal 
and management controls; and the reporting on 
the results of audit findings, compilation, and 
review. 

The advi s or)' consulting services field of study 
deals with all advisory consulting services 
provided by professional accoun- 

tants—management, business, personal, and 
other. It includes management advisor)' consult- 
ing services and personal financial planning 
services. This field also covers an organiza- 
tion's various systems, the services provided by 
consultant practitioners, and the engagement 
management techniques that are typically used. 
An organization's systems include those dealing 
with planning, organizing, and controlling any 
phase of individual financial activity and busi- 
ness activity. Services provided encompass 
those for management, such as designing, imple- 
menting, and evaluating operating systems for 
organizations, as well as business advisor)' 
consulting services and personal financial plan- 
ning. 

The management field of study considers the 
management needs of individuals primarily in 
public practice, industry, and government. 
Some subjects concentrate on the practice man- 
agement area of the public practitioner, such as 
organizational structures, marketing services, 
human resource management, and administrative 
practices. For individuals in industry, there are 
subjects dealing with the financial management 
of the organization, including information sys- 
tems, budgeting, and asset management, as well 
as items covering management planning, buying 
and selling businesses, contracting for goods and 
services, and foreign operations. For CPAs in 
government, this curriculum embraces budget- 
ing, cost analysis, human resource management, 
and financial management in state and local 
governmental entities. In general, the emphasis 
in this field is on the sf)ecific management ne«ds 
of CPAs and not on general management skills. 
The personal development field of study includes 
becoming a competent people manager, which 
covers such skills as communications, managing 
the group process, and dealing effectively with 
others in interviewing, counseling, and career 
plaiming. Public relations and professional 
ethics are also treated. 

The specialized knowledge and applications field 
of study treats subjects related to specialized 



10:16C 



NORTH CAROLINA REGISTER 



November 15, 1995 



2037 



PROPOSED RULES 



industries, such as not-for-profit organizations, 
health care, and oil and gas. An industry is 
defined as specialized if it has unusual: 

(A) forms of organization; 

(B) economic structure; 

(C) sources of financing; 

(D) statutory or regulatory requirements; 

(E) marketing or distribution; 

(F) terminology; or 

(G) technology; and 

(H) employs unique accounting principles and 

practices; 
(1) encounters unique tax problems; 
(J) requires unique advisor)' consulting services; 

or 
(K) faces unique audit issues. 
(6) TTie taxation field of study includes subjects 
dealing with lax compliance and tax planning. 
Compliance covers tax return preparation and 
review and IRS examinations, ruling requests, 
and protests. Tax planning focuses on applying 
tax rules to prospective transactions and under- 
standing the lax implications of unusual or 
complex transactions. Recognizing alternative 
tax treatments and advising the client on tax 
saving opportunities are also part of tax plan- 
ning. 

(c) In addition to courses sponsored by approved spon- 
sors, the following may qualify as acceptable types of 
continuing education programs, provided the programs 
comply with the requirements set forth in Paragraph (a) of 
this Rule: 

(1) professional development programs of national 
and state accounting organizations; 

(2) technical sessions at meetings of national and 
state accounting organizations and their chapters; 

(3) courses taken at regionally accredited colleges 
and universities; 

(4) formal educational programs conducted within 
an association of accounting firms; and 

(5) formal correspondence courses. 

A CPA may claim credit for a course offered by a 
non-approved sponsor provided that the course meets the 
requirements of 21 NCAC 8G .0403(d), 8G .0404, and 21 
NCAC 8G .0409. It is the responsibility of the CPA to 
maintain documentation proving that the course met these 
standards. 

(d) Notwithstanding Paragraph (a) of this Rule, CPE 
credit may be granted for teaching a CPE course or 
authoring a publication as long as the preparation to teach or 
write increased the CPA's professional competency and was 
in one of the six fields of study recognized by the Board and 
set forth in Paragraph (b) of this Rule. 

Statutory Authority G.S. 93-12(8b). 

.0409 COMPUTATION OF CPE CREDITS 



(a) Group Courses: Non-College. CPE credit for a group 
course that is not part of a college curriculum is given based 
on contact hours. A contact hour is 50 minutes of instruc- 
tion. Credit is granted only for full contact hours. For 
example, a group course lasting 100 minutes is two contact 
hours and thus two CPE credits, and a group course lasting 
between 50 and 100 minutes is only one contact hour and 
thus only one CPE credit. When individual segments of a 
group course are less than 50 minutes, the sum of the 
individual segments is added to determine the number of 
contact hours. For example, five 30-minute presentations 
are 150 minutes, which is three contact hours and three CPE 
credits. No credit shall be allowed for a segment unless the 
participant completes the entire segment. 

(b) Completing a College Course. CPE credit for 
completing a college course in the college curriculum will 
be granted based on the number of credit hours the college 
gives the CPA for completing the course. One semester 
hour of college credit is 15 CPE credits; one quarter hour 
of college credit is ten CPE credits; and one continuing 
education unit (CEU) is ten CPE credits. If a college 
course does not carry credit, CPE credit for the course will 
be based on the number of contact hours of the course using 
the formula set out in Paragraph (a) of this Rule. However, 
under no circumstances will CPE credit be given to a CPA 
who audits a college course. 

(c) Self Study. CPE credit for a self-study course is 
given based on the average number of contact hours needed 
to complete the course. One-half of the average completion 
time is allowed for CPE credit. A sponsor must determine, 
on the basis of pre-tests, the average number of contact 
hours it takes to complete a course. 

(d) Instructing a CPE Course. CPE credit for teaching or 
presenting a CPE course for CPAs is given based on the 
number of contact hours spent in preparing and presenting 
the course. No more than 50 percent of the CPE credits 
required for a year may be credits for preparing for and 
presenting a course. CPE credit for preparing for and 
presenting a course is allowed only once a year for a course 
presented more than once in the same year by the same 
CPA. 

(e) Authoring a Publication. CPE credit for published 
articles and books is given based on the number of contact 
hours the CPA spent writing the article or book. No more 
than 25 percent of a CPA's required CPE credits for a year 
may be credits for published articles or books. 

(f) Instructing a College Course. CPE credit for instruct- 
ing a graduate level college course is given based on the 
number of credit hours the college gives a student for 
successfully completing the course, using the calculation set 
forth in Paragraph (b) of this Rule. Credit will not be given 
for instructing an undergraduate level course. In addition, 
no more than 50 percent of the CPE credits required for a 
year may be credits for instructing a college course and, if 
CPE credit is also claimed under Paragraph (d) of this Rule, 
no more than 50 percent of the CPE credits required for a 
year may be credits claimed under Paragraph (d) and this 



2038 



NORTH CAROLINA REGISTER 



November 15, 1995 10:16C 



PROPOSED RULES 



Paragraph. CPE credit for instructing a college course is 
allowed only once for a course presented more than once in 
the same year by the same CPA. 

(g) Interactive Self-Study. CPE credit for interactive 
self-study is based on a program designed to use interactive 
learning methodologies that simulate a classroom learning 
process by employing computer software, other course 
material, or admmistrative systems that provide significant 
ongoing, interactive feedback to the learner regarding their 
learning progress. The sponsor must determine the CPE 
credit to be allowed based on the average number of contact 
hours needed to complete the course. 

Statutory Authority G.S. 93-12(8b). 

SUBCHAPTER 81 - REVOCATION OF 

CERTinCATES AND OTHER 

DISCIPLINARY ACTION 

.0004 MODIFICATION OF DISCIPLENfE 
AND NEW CERTIFICATE 

(a) A person or firm that has been disciplined by the 
Board may apply to the Board for modification of the 
discipline at any time after the effective date of the Board's 
decision imposing it; however, if any previous application 
has been made with respect to the same discipline, no 
additional application shall be considered before the lapse of 
one year following the Board's decision on that previous 
application. Provided, however, that an application to 
modify permanent revocation shall not be considered until 
after five years from the date of the original discipline, nor 
more often than three years after the Board's last decision 
on any prior application for modification. 

(b) The application for modification of discipline or for 
a new certificate shall be in writing, shall set out and, as 
appropriate, shall demonstrate good cause for the relief 
sought. The application for an individual shall be accompa- 
nied by at least three supporting recommendations, made 
under oath, from CPAs who have fjersonal knowledge of the 
activities of the applicant since the discipline was imposed. 
The application for a firm shall be accompanied by at least 
three supporting recommendations, made under oath, for 
each partner, member, or shareholder, from CPAs who 
have personal knowledge of the activities of the partner, 
member, or shareholder, since the discipline was imposed. 

(c) "Good cause" as used in Paragraph (b) of this Rule 
means that the applicant is completely rehabilitated with 
respect to the conduct which was the basis of the discipline. 
Evidence demonstrating such rehabilitation shall include 
evidence: 

(1) that such person has not engaged in any conduct 
during the discipline period which, if that person 
had been licensed or registered during such 
period, would have constituted the basis for 
discipline pursuant to G.S. 93-12(9); 

(2) that, with respect to any criminal conviction 
which constituted any part of the previous 



discipline, the person has completed the sentence 
imposed; and 
(3) that, with respect to a court order, restitution 
has been made to any aggrieved party. 

(d) In determining good cause, the Board may consider 
all the applicant's activities since the disciplinary penalty 
was imposed, the offense for which the applicant was 
disciplined, the applicant s activities during the time the 
applicant was in good standing with the Board, the appli- 
cant's rehabilitative efforts, restitution to damaged parties in 
the matter for which the penalty was imposed, and the 
applicant's general reputation for truth and professional 
probity. For the purpose of this Paragraph, "applicant" 
shall, in the case of a firm, include partners, members, or 
shareholders. 

(e) Any person who applies for a modification of 
discipline and for a new certificate after revocation e* 
forf e itur e shall, in addition to the other requirements of this 
Section, comply with all qualifications and requirements for 
initial certification which exist at the time of the application. 

(f) No application for a new certificate or for modifica- 
tion of discipline shall be considered while the applicant is 
serving a sentence for any criminal offense. Serving a 
sentence includes incarceration, probation (supervised or 
unsujjervised), parole, or suspended sentence, any of which 
are imposed as a result of having been convicted or plead to 
a criminal charge. 

(g) An application shall ordinarily be ruled upon by the 
Board on the basis of the recommendations and evidence 
submitted in support thereof. However, the Board may 
make additional inquiries of any person or persons, or 
request additional evidence it deems appropriate. 

(h) As a condition for a new certificate or modification 
of discipline, the Board may impose terms and conditions it 
considers suitable. 

Statutory Authority G.S. 55B-12: 93-2; 93-12(7a); 
93-12(7b); 93-12(9). 

SUBCHAPTER 8J - RENEWALS 
AND REGISTRATIONS 

.0001 ANNUAL RENEWAL OF CERTIFICATE, 
FORFEITURE, AND REAPPLICATION 

(a) All active CPAs must renew their certificates annually 
by the first day of July. The fee for such renewal is the 
maximum amount allowed by statute. 

(b) To renew a certificate a CPA must submit to the 
Board: 

(1) a properly completed certificate renewal applica- 
tion form; 

(2) a projjerly completed CPE report, as required by 
21 NCAC 8G .0406(a); and 

(3) the annual renewal fee. 

(c) Upon failure of a CPA to comply with any applicable 
part of Paragraph (b) of this Rule by July 1, the Board will 
send notice of such failure in the form of a demand letter to 



10:16C 



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November 15, 1995 



2039 



PROPOSED RULES 



the CPA at the most recent mailing address the Board has 
on file. Completed renewal application packages shall be 
postmarked with proper postage not later than 30 days after 
the mailing date of the demand letter, unless that date falls 
on a weekend, in which case the renewal package must be 
postmarked or received in the Board office on the next 
business day. For renewal packages sent via the U.S. 
Postal Service, only a U.S. Postal Service cancellation shall 
be considered as the postmark. If the renewal package is 
sent to the Board office via a private delivery service, the 
date the package is received by the delivery service shall be 
considered as the postmark. Subsequent failure of the CPA 
to comply with any applicable part of Paragraph (b) of this 
Rule within 30 days after such notice is mailed automatically 
results in forfeiture of the CPA's certificate, as required by 
G.S. 93-12(15). 

(d) Up>on forfeiture of a certificate, the certificate holder 
is no longer a CPA and the Board will send notice of such 
forfeiture to the certificate holder by certified mail to the 
most recent mailing address the Board has on file. The 
certificate holder shall return the certificate to the Board 
office within five days after receipt of notice of forfeiture 
or. if the certificate has been destroyed or lost, shall submit 
an affidavit, on a form supplied by the Board, within ten 
days of receipt of such notice that the certificate has been 
destroyed or has been lost and will be returned to the Board 
if found. 

(e) A person who has forfeited a certificate pursuant to 
G.S. 93-12(15) for failure to renew his or her certificate 
may apply for a n e w c e rtificat e reinstatement under 21 
NCAC 8 1 .000^ 8J .0006 . 

Statutory Authority G.S. 93-12(7a); 93-12(8): 93-12(8a); 
93-12(8b); 93-12(15). 

.0006 FORFEITURE OR SURRENDER OF 

CERTinCATE AND REINSTATEMENT 

(a) A certificate holder who determines that the certificate 
of qualification issued by the Board is no longer needed or 
desired may voluntarily surrender the certificate and shall be 
considered inactive. 

(b) A person who has surrendered or forfeited a certifi- 
cate is no longer a CPA and thus is not subject to the 
renewal fee or CPE requirements contained in these Rules. 

(c) A person who desires to reinstate a surrendered or 
forfeited certificate shall make application and provide the 
following to the Board: 

(1) payment of the current certificate application 
fee: 

(2) three certificates of moral character and endorse- 
ments as to eligibility signed by CPAs holding 
vaHd certificates granted by any state or territory 
of the United States or the District of Columbia; 
and 

(3) evidence of satisfactory completion of the CPE 
requirement described in 21 NCAC 8J 
.0005(c)(2). 



(d) TTie certificate may be reinstated in the discretion of 
the Board. 

Statutory Authority G.S. 93-12(5); 93-12(8a); 93-12(8b). 

SUBCHAPTER 8M - STATE QUALITY 
REVIEW PROGRAM 

SECTION .0100 - GENERAL SQR 
REQUIREMENTS 

.0102 REGISTRATION REQUIREMENTS 

(a) A firm which has not performed any audits, reviews 
or compilations during the 12 months prior to the year-end 
of the registration required by 21 NCAC 8J .0008(a) and (b) 
shall be exempt from the SQR program for the 12 months 
following the year-end but not from registering with the 
Board. 

(b) Unless exempt under Paragraph (a) of this Rule, each 
ongoing firm must complete an SQR within 12 months 
following the year-end of each registration unless it has 
completed an SQR within 24 months prior to the year-end. 

(c) Unless exempt under Paragraph (a) of this Rule, a 
new firm shall complete its initial SQR within 24 months of 
the date of its initial registration pursuant to 21 NCAC 8J 
.0008(a). 

(d) Eveiy firm not exempt from SQR by Paragraph (a) of 
this Rule, after completion of a quality review, must procure 
on affidavit a statement signed by the review team captain, 
a statement signed by a member of the firm being reviewed, 
or letter of acceptance from an approved review program, 
stating that the firm has completed an SQR or one of the 
review programs listed or referred to in 21 NCAC 8M 
.0104. The firm shall submit the affidavit statement or 
documentation with the annual registration following the 
review as set forth in 21 NCAC 8J .0008(c)(2). 

(e) For purposes of this Rule, an SQR is complete when 
the review team has delivered its report required by 21 
NCAC 8M .0306 to the reviewed firm. Any quality review 
other than SQR is complete when the review team has 
delivered its final report to the reviewed firm. If mailed, a 
report shall be deemed delivered when postmarked. 
Note: — For e xampl e , firm C was incorporat e d on Jun e 1, 
y e ar on e . — During that y e ar it perform e d accounting and 
auditing sor i 'ioos and, therefore, was not exempt from tho 
SQR program. — It continued to do auditing and accounting 
work for th e n e xt thre e y e ars (y e ars D i vo, thre e and four) but 
it did not do any audit s , r e vi e ws, or oompilationo in yoaro 
fivo and 3ix. — In year seven, the firm completed several 
compilations but. in year eight, it did not issue any audits, 
r e vi e ws, or compilation s . — In y e ar nine, tho corporation 
dissolv e d, at which tim. e it notified th e Board of its dissolu 
tion pursuant to 21 NCAC 8J .0008(g). Tho following chart 
shows tho histor)' of firm C as it relates to tho SQR pro 
gram, SQR foes it was r e quir e d to pay pursuant to 21 
NCAC 8 J .0010. and wh e n and why it was r e quired to 
complete on SQR pursuant to this Rulo. 



2040 



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PROPOSED RULES 



Year 



Audito. Roviow8 -eif- 



Foo 



— Completion of SQR 
R e quir e d and Rational «^ 



Compilationo P e rform e d 



-¥«9- 



SQR Foo 



A now firm ha s 2 4 months to comploto SQR 



-¥«s- 



SQR F ee 



21 NCAC 8 M .0102(c); tho firm is ro 
quir e d to 
compl e t e SQR before June 1, year 3. 



-¥e9- 



SQR Foo 



Complotos SQR on May 15, year 3 (within 
21 montho of ito inc e ption) 21 NCAC 8 M 
■0102(c). 



-^Yes- 



SQR Feo 



Not required to comploto SQR in your 5 
b e caus e the firm complet e d SQR on May 
15, y e ar 3 (within 21 montho of year end of 
yoar 4 ) — 21 NCAC 8M .0102(b). 



44e- 



Ex e mpt F ee 



Will not b e r e quir e d to comploto SQR in 
y e ar 6 becauoo it is e x e mpt — 21 NCAC 8M 
.0102(a). 



4>te- 



Ex e mpt Fe e 



Not r e quired to complete SQR in y e ar 7 

b e caus e — it is e x e mpt 34 — NCAC 8 M 

.0102(a). 



-¥«s- 



SQR F e e 



Will bo requir e d to complet e SQR in y e ar 8 
becauoo it has not compl e t e d SQR within 2^ 
monthfl of yoar end of year 7 (last SQR was 
completed May 15, year 3) — 21 NCAC 8 M 
.0102(b). 



44e- 



Exempt Foo 



Complotos SQR pur s uant to its registration 
in year 7 — 21 NCAC 8 M .0102(b). 



-¥«8- 



No F ee 



Not r e quired to r e gist e r or pay a fee at 
year end of yoar 9 bocauso firm dissolved 
during year 9 and proporly notified the 
Beftfd — 21 NCAC 8 J .000 8 (g). 



th e firm, firm D would b e in violation of this Rule and 
would b e r e quir e d to compl e t e SQR in y e ar five. 



Statutory Authority G.S. 93-12(7b); 93-12(8c). 

.0103 PROHIBITION OF ABUSE 

Firms may not rearrange their structure or act in any other 
manner with the intent to avoid participation in SQR. 

Note: — For example, in year one, firm A is formed -and Statutory Authority G.S. 93-12(8c). 
consists of four partn e rs, e ach holding 25 p e rc e nt ownership 
in the fiF ffi^ — It is d e t e rmin e d that firm A i s a n e w firm. 

21 MfAr- q^4 nimc 



Therefore, it will bo required under 21 NCAC 8 M .0102(c) 
to undergo SQR in year three. — However, in year throe, 
firm A splits into two firms, B and C, each having two 
partners. If it is found that it was th e partn e rs' int e ntion to 
split tho firm in order to avoid SQR, both firm B and firm 
C i ^ 'ould bo required to undergo SQR in year three. — If that 
was not th e partners' int e nt but in y e ar fiv e [th e y e ar when 
both firm B and C as n e w firms would b e requir e d to 
undergo SQR under 21 NCAC 8M .0102(o)], B and C 
merge into firm D with each partner owning 25 percent of 



SECTION .0200 - DUTIES OF THE 
REVIEWED FIRM 

.0206 SELECTION OF A REVIEW TEAM 

(a) A participating firm shall select the review team 
which will perform the firm's SQR. 

(b) It is the participating firm's responsibility to see that 
the review team is qualified under 21 NCAC 8M .0301 and 
engaged to perform the review in accordance with the 
standards for the performance of SQR set forth in 21 NCAC 
8M .0302 - .0307. .0306. 



10:16C 



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November 15, 1995 



2041 



PROPOSED RULES 



Statutory Authority G.S. 93-12(8c). 

.0207 DUTY TO RESPOND TO QUESTIONS 

(a) The participating firm shall respond promptly to 
questions raised during the review process by any member 
of the review team, whether oral or written. 

(b) The participating firm shall respond in writing to 
questions raised by the SQR report required by 21 NCAC 
8M t030? .0306 within 30 days from the date the report is 
delivered to it. The letter of response shall be addressed to 
the SQR Committee and a copy sent to the review team 
captain. 

Statutory Authority G.S. 93-12(8c}. 

SECTION .0300 - REVIEW TEAM: 
QUALIFICATIONS AND DUTIES 

.0304 PERFORMING THE REVIEW - 
REVIEWER'S DUTIES 

(a) The objective of the review shall be to determine that 
the financial statements and related accountant's report on 
the audit, review or compilation engagements submitted for 
review do not depart in a material respect from the require- 
ments of professional standards set forth in 21 NCAC 8N 
.0209-.02I1, .0304, and ,0403-. 0406. 

(b) The review team shall read the financial statements 
submitted by the participating firm and the accountant's 
audit, review or compilation report thereon. 

(c) TTie review team must determine whether each of the 
accountant's report and financial statements conform with 
the applicable professional standards set forth in 21 NCAC 
8N .0209-.0211, .0304, and .0403-. 0406. 

(d) Before issuing its SQR report pursuant to 21 NCAC 
8M .0307 .0306 , the review team may raise questions with 
the participating firm either orally or in written form to 
resolve questions which come to their attention during a 
review. 

(e) The review team shall document the work performed 
using programs and checklists which provide a reasonable 
basis for their SQR report. 

(f) A review team shall not issue an SQR report, pursuant 
to 21 NCAC 8M -mo:)- .0306 , unless it has complied with 
the applicable review standards and requirements. 

Statutory Authority G.S. 93-12(8c). 

SECTION .0400 - SQR ADVISORY 
COMMITTEE 

.0401 SQR ADVISORY COMMITTEE - 
MEMBERS AND DUTIES 

(a) The SQR Advisory Committee shall consist of six 
CPAs appointed by the Board and one Board member 
appointed by the Board's President. 

(b) The SQR Committee shall: 



f+^ roviow all initial firm rogistrationa oubmittod -te 

th e Board pursuant to 21 NCAC 8 J .000 8 (a); 

(S) r e view all stat e m e nto oubmittod by roviow toam 

captains to the roviowod firm pursuant to 21 
NCAC 8 M .0102(d) and oubmittod to the Board 
purouant to 21 NCAC 8 J .000 8 (o)(2): 

(1) (5)beginning January 1, 1996, review all modi- 
fied and adverse SQR reports and letters of 
comments, if any, submitted by review team 
captains under the SQR program; 

(2) f4)consider all objections filed pursuant to 21 
NCAC 8M .0402(a); and 

(3) f^make recommendations to the Board consis- 
tent with these Rules concerning each of Sub- 
paragraphs (b)(1) through ( 4 ) and (2) . 

(c) Prior to making any recommendations to the Board, 
the Committee shall give notice of its proposed recommen- 
dation to the firm to which the recommendation pertains. 

(d) The Committee shall also recommend remedial action 
to participating firms receiving modified or adverse reports 
which, if followed, could increase the participating firm's 
ability to perform quality services in the public practice of 
accounting. 

(e) The Committee shall report at least annually to the 
Board on its activities and, further, at any time the Board 
requests a special report. 

Statutory Authority G.S. 93-12(2); 93-12(8c). 

.0402 OBJECTIONS TO SQR ADVISORY 
COMMITTEE 

(a) A participating firm may file an objection with the 
SQR Advisory Committee with regard to an SQR report 
within 30 days from the date the report is delivered pursuant 
to 21 NCAC 8M .0307(a) .0306(a) . In any other matter 
before the Committee, a firm to which a proposed recom- 
mendation pertains may file an objection within 30 days 
from notice of the Committee's recommendation. 

(b) All objections shall be in writing and shall be ad- 
dressed to the Committee at the Board's address set forth in 
21 NCAC 8A .0102. Objections are filed when received by 
the Board. 

(c) An objection concerning an SQR report shall contain: 

(1) the name of the reviewed firm; 

(2) the name of the review team captain; 

(3) the date the review was completed; 

(4) the conclusions made in the report to which the 
participating firm objects; and 

(5) in sufficient detail, the participating firm's 
reasons for objecting to the report's conclusions. 

(d) Objections to proposed recommendations of the 
Committee shall identify the proposed recommendation and 
shall state the firm's reasons for disagreeing with the 
Committee's propxDsed recommendation in sufficient detail. 

Statutory Authority G.S. 93-12(2); 93-12(8c). 



2042 



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November 15, 1995 10:16C 



PROPOSED RULES 



SUBCHAPTER 8N - PROFESSIONAL 
ETHICS AND CONDUCT 

SECTION .0300 - RULES APPLICABLE TO 

ALL CPAs WHO USE THE CPA TITLE EM 

OFFERING OR RENDERING PRODUCTS 

OR SERVICES TO CLIENTS 

.0306 ADVERTISING OR OTHER FORMS 
OF SOLICITATION 

(a) Deceptive Advertising. A CPA shall not seek to 
obtain clients by advertising or using other forms of solicita- 
tion in a manner that is deceptive. 

(b) Specialty Designations. A CPA may advertise the 
nature of services provided to clients but the CPA shall not 
advertise or indicate a specialty designation or other title 
unless the CPA has met the requirements of the granting 
organization for the separate title or specialty designation 
and the titl e or apeoialty dosignation hao be e n approv e d by 
tho Board individual is currently on active status and in 
good standing with the granting organization for the separate 
title or specialty designation . 

Statutory Authority G.S. 55B-12; 57C-2-01: 93-12(9). 

CHAPTER 16 - BOARD OF DENTAL EXAMINERS 

Notice is hereby given in accordance with G.S. 
150B-21.2 that the North Carolina State Board of 
Dental Examiners intends to adopt rules defining unprofes- 
swnal conduct for dentists and dental hygienusts. The Board 
will subsequently publish in the Register the text of the rules 
it proposes to adopt as a result of the public hearing and of 
any comments received on the subject matter. 

Proposed Effective Date: May 1, 1996. 

A Public Hearing will be conducted at 2:00 p.m. on 
February 16, 1996 at the Office of North Carolina State 
Board of Dental Examiners, Chatham Building of the Koger 
Executive Center, 3716 National Drive, Suite 221 , Raleigh, 

NC. 



Reason for Proposed Action: 

conduct. 



To define unprofessional 



Comment Procedures: Any person desiring to present oral 
data, views, or arguments on the proposed rules must, at 
least 10 days prior to the proposed hearing, file a notice 
with the Board. Notice of such request to appear or failure 
to give timely notice may be waived by the Board in its 
discretion. Comments should be limited to five minutes. 
Any person permitted to make an oral presentation is 
directed to submit a written statement of such presentation 
to the Board prior to or at the time of such hearing. The 



Board's address is NC State Board of Dental Examiners, 
P. O. Box 32270, Raleigh, NC 27622-2270. Any person may 
file written submission of comments or argument at any time 
up to and including March 18, 1996. 

Notice is hereby given in accordance with G.S. 
150B-21.2 that the North Carolina State Board of 
Dental Examiners intends to amend rules cited as 21 NCAC 
16H .0104, .0202 - .0203; and adopt rules cited as 21 
NCAC 16T .0001 - .0002: 16V .0101 - .0102, .0201 - 
.0204. 

Proposed Effective Date: May 1 , 1996. 

A Public Hearing will be conducted at 2:00 p.m. on 
February 16, 1996 at the Office of the North Carolina State 
Board of Dental Examiners, Chatham Building of the Koger 
Executive Center, 3716 National Drive, Suite 221 , Raleigh, 
NC. 

Reason for Proposed Action: 

21 NCAC 16H .0104 - to change approved education and 
training programs and experience requirements qualifying 
Dental Assistants as Dental Assistant II by deleting the 
requirement of completion of a formal educational program 
in radiography consisting of at least 40 clock hours and by 
replacing the requirement of completion of equivalent 
training and experience as approved by the Board with the 
requirement of experience working as a chairside assistant 
for five of the preceding seven years and completion of 
training in radiography. 

21 NCAC 16H .0202 - to specify that a Dental Assistant I 
may take radiographs under the direct control and supervi- 
sion of a dentist, if the Assistant can show evidence of 
having completed training in radiography consistent with 
G.S. 90-29(c)(12). 

21 NCAC 16H .0203 - to allow a Dental Assistant II to 
polish the clinical crown using only a combination of a slow 
speed handpiece, rubber cup or bristle brush, as long as a 
formal educational course in coronal polishing consisting of 
at least seven hours has been completed successfiilly. 
21 NCAC 16T .0001 - to require dentists to maintain 
complete treatment records and to specify information that 
must be included in the treatment records. 
21 NCAC 16T .0002 - to require a dentist to transfer 
records upon request to a licensed dentist designated by the 
patient. 

21 NCAC 16U .0101 - to specify tliat the Board's Secretary- 
Treasurer or the Board's President's designee shall supervise 
and direct investigations and recommend dispositions of 
cases. 

21 NCAC 16U .0102 - to specify members of the investiga- 
tive panel and to specify the panel 's duties. 
21 NCAC 16U .0201 - to specify' at what point during the 
processing of a complaint a licensee will be notified of the 



10:I6C 



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November 15, 1995 



2043 



PROPOSED RULES 



complaint and given an opportunity to respond. 

21 NCAC 16U .0202 - to specify possible dispositions of 

complaints or other investigations. 

21 NCAC 16U .0203 - to set out procedures for pre-hearing 

conferences. 

21 NCAC 1611 .0204 - to set out procedures for settlement 

conferences. 

Comment Procedures: Arry person desiring to present oral 
data , views, or arguments on the proposed rules must, at 
least 10 days prior to the proposed hearing, file a notice 
with the Board. Notice of such request to appear or failure 
to give timely notice may be waived by the Board in its 
discretion. Comments should be limited to five minutes. 
Any person permitted to make an oral presentation is 
directed to submit a written statement of such presentation 
to the Board prior to or at the time of such hearing. The 
Board 's address is NC State Board of Dental Examiners, 
P.O. Box 32270, Raleigh, NC 27622-2270. Any person may 
file written submission of comments or argument at any time 
up to and including March 18, 1996. 

Fiscal Note: These Rules do not affect the expenditures or 
revenues of local government or state funds. 

SUBCHAPTER 16H - DENTAL ASSISTANTS 

SECTION .0100 - CLASSIFICATION AND 
TRAINING 

.0104 APPROVED EDUCATION AND TRAINING 
PROGRAMS 

Education and training programs approved by the North 
Carolina State Board of Dental Examiners and experience 
requirements qualifying Dental Assistants as Dental Assis- 
tant II include: 

(1) satisfactory completion of one academic year or 
longer in a Dental Assistant or Dental Hygiene 
program approved by the Commission on Dental 
Accreditation of the American Dental Association; 

(2) full-time employment as a chairside assistant 
(Dental Assistant I) by a dentist licensed in North 
Carolina for three consecutive years of the preced- 
ing five, completion of a Board-approved course 
in intraoral radiography, and completion of didac- 
tic training in a dental assisting course approved 
by the Board that must include asepsis and dental 
emergencies; 

(3) successful completion of the certification examina- 
tion administered by the Dental Assisting National 
Board and complotion of a formal educational 
program in radiography (which includ e s an e xami 
nation) consist e nt with G.S. 90 29(c)(12) consist 
ing of at least 4 clock hours ; and 

(4) complotion of equivalent training and oxporionco 
as approv e d by th e Board, experience working as 
a chairside assistant for five of the preceding 



seven years and completion of training in radiog- 
raphy consistent with G.S. 90-29(c')(12). 

Statutory Authority G.S. 90-29(c)(9). 

SECTION .0200 - PERMITTED FUNCTIONS 
OF DENTAL ASSISTANT 

.0202 SPECIFIC PERMITTED FUNCTIONS OF 
DENTAL ASSISTANT I 

A Dental Assistant I may do and perform the following 
acts and functions, after adequate training and qualification, 
under the direct control and supervision of a dentist, which 
dentist shall be jjersonally responsible and liable for any and 
all consequences or results arising from the performance of 
these acts and functions: 

(1) take radiographs of the mouth, gums, jaws, teeth 
or any portion thereof for dental diagnostic pur- 
poses provided, however, any D e ntal Assistant I 
who becomes initially employed after January 1, 
1971 must that the assistant can show evidence of 
having completed at loast 10 clock hours in a 
formal e ducational program training in radiogra- 
phy (which includoa an examination) consistent 
with G.S. 90-29(c)(12) before being permitted to 
take radiographs; 

(2) apply topical fluorides directly to the teeth of any 
person the dentist is treating; and 

(3) apply topical anesthetics or other topical medica- 
tions within the oral cavity of any person the 
dentist is treating. 

Statutory Authority G.S. 90-29(c)(9); 90-48. 

.0203 PERMITTED FUNCTIONS OF DENTAL 
ASSISTANT U 

A Dental Assistant II may do and perform and all acts or 
functions which may be done or performed by a Dental 
Assistant I. Additionally, a Dental Assistant II, after 
adequate training and qualification as provided in 21 NCAC 
16H .0104, may be delegated appropriate functions to be 
performed under the direct control and supervision of a 
dentist who shall be personally and professionally responsi- 
ble and liable for any and all consequences or results arising 
from the performance of such acts and functions. A Dental 
Assistant II may: 

(1) Take impressions for study models and opposing 
casts which will not be used for construction of 
dental appliances; 

(2) Apply sealants to teeth that do not require me- 
chanical alteration prior to the application of such 
sealants, provided a dentist has examined the 
patient and prescribed the procedure; and 

(3) Polish the clinical crown using only a combination 
of a slow speed handpiece (not to exceed 10,000 
rpm), rubber cup or bristle brush and appropriate 
polishing agents, agents, as long as a formal 



2044 



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November 15, 1995 10:16C 



PROPOSED RULES 



educational course in coronal polishing consisting 
of at least seven hours has been completed suc- 
cessfully. This procedure shall in no way be 
represented to the patient as a prophylaxis and no 
specific charge shall be made for such a proce- 
dure. 

Statutory Authority G.S. 90-29(c)(9): 90-48. 

SUBCHAPTER 16T - PATIENT RECORDS 

.0001 RECORD CONTENT 

A dentist shall maintain complete treatment records on all 
patients treated. Treatment records may include such 
information as the dentist deems appropriate but must 
include the following: 

(1) Patient's full name, address and treatment dates: 

(2) Patient's nearest relatiye or responsible party; 

(3) Current and complete health history; 

(4) Diagnosis of condition and treatment plans; 

(5) Specific treatment rendered and by whom; 

(6) Name and strength of any medications prescnbed, 
dispensed or administered along with the quantity 
and date provided; 

(7) Diagnostic aids when applicable and obtainable; 
and 

(8) Patient's financial records and copies of all insur- 
ance claim forms. 

Statutory Authority G.S. 90-28: 90-48. 

.0002 TRANSFER OF RECORDS UPON REQUEST 

A dentist shall, upon request by the patient of record, 
provide original or copies of radiographs to a licensed 
dentist designated by the patient. A summary of the 
treatment record shall be provided to a subsequent treating 
dentist, upon the dentist's request. A reasonable fee may be 
charged for duplication of radiographs and diagnostic 
materials. The treatment summary shall be provided within 
a reasonable time of the request and shall not be contingent 
upon current, past or future dental treatment or payment of 
services. 

Statutory Authority G. S. 90-28; 90-48. 

SUBCHAPTER 16U - INVESTIGATIONS 

SECTION .0100 - PROCEDURES 

.0101 SECRETARY-TREASURER 

TTie Board's Secretary-Treasurer or another Board 
member appointed by the Board's President shall supervise 
and direct investigations of acts or practices that might 
violate the provisions of the Dental Practice Act, the Dental 
Hygiene Act or the Board's Rules. The Secretary -Treasurer 
or other Board member appointed by the Board's President, 
m consultation with the Investigative Panel, shall determine 



whether cases involving licensees, interns or applicants for 
licenses or permits shall be set for hearing or settlement 
conference and recommend to the Board dispositions of 
cases which are not set for hearing or settlement conference. 

Statutory Authority G.S. 90-28; 90-41; 90-41.1; 90-48; 90- 
223; 90-231. 



.0102 INVESTIGATIVE PANEL 

The Secretary -Treasurer or another 



Board member 



appointed by the President shall chair the Investigative 
Panel. The Board's Counsel, Investigations Coordinator. 
Investigators and such other staff members as the President 
may from time to time appoint shall serve on the Panel. 
The Investigative Panel shall conduct investigations and 
prepare and present the Board's case in contested case 
hearings and in civil actions to enjoin the unlawful practice 
of dentistry. 

Statutory Authority G.S. 90-28; 90-40.1; 90-41; 90-41.1; 
90-48; 90-223; 90-231; 150B-40. 

SECTION .0200 - COMPLAINTS 

.0201 PROCESSING 

Except in cases requiring emergency action for the 
protection of the public health, safety or welfare, licensees 
shall be notified promptly of patient complaints against them 
regarding dental care and given an opportunity to respond. 
Licensees who are the subjects of complaints or investiga- 
tions regarding unlawful activity other than negligence, 
malpractice or incompetence shall be notified of the nature 
of the complaint and given an opportunity to respond at such 
time as the Secretary-Treasurer or other Board member 
chairing the Investigative Panel determines that notification 
will not jeopardize the preservation or procurement of 
relevant evidence. 

Statutory Authority G.S. 90-28; 90-41; 90-41.1; 90-48; 90- 
223; 90-231; 1508-41. 

.0202 DISPOSITION 

The Secretary -Treasurer or other Board member chairing 
the Investigative Panel shall direct one or more of the 
following dispositions of each complaint or other investiga- 
tion: 

Submission to the Board with a recommendation 



lii 
01 
01 
(4) 
01 



to dismiss with no action; 

Submission to the Board with a recommendation 

to resolve by consent; 

Scheduling for pre-hearing conference with the 

Investigative Panel; 

Scheduling for settlement conference with the 

Board; or 

Scheduling, with appropriate notice, for contested 

case hearing. 



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2045 



PROPOSED RULES 



Stamtory Authority G.S. 90-28: 90-41; 90-41. 1; 90-48; 90- 
223; 90-229; 90-231; 150B-38; I50B-41. 

.0203 PRE-HEARING CONFERENCES 

(a) A pre-hearing conference shall not be conducted 
unless the Respondent agrees to participate. 

(b) A pre-hearing conference shall be conducted before 
the Investigative Panel. At the pre-hearing conference, a 
Board investigator shall summarize the circumstances of the 
investigation. The Respondent shall have an o pportunity to 
respond and to submit documentation. The pre-heanng 
conference shall not be recorded nor open to the public. 

(c) Following the pre-hearing conference, the Respondent 
shall be advised in writing of the proposal for disposition of 
the matter by the Board member presiding over the pre- 
hearing conference. If the Board member presiding over the 
pre-hearing conference deems sanctions are appropriate, a 
Consent Order or letter of reprimand shall be proposed. 
Should the Respondent accept the terms, the proposed 
Consent Order or letter of reprimand must be approved by 
the fuU Board. Should the Respondent reject the terms of 
a proposed Consent Order or letter of reprimand, the Board 
member presiding over the pre-hearing conference shall 
direct disposition of the matter under Rule .0202 of this 
Section. 

Stamtory Authority G.S. 90-28; 90-41; 90-41.1; 90-48; 90- 
223. 90-229; 90-231; 150B-41. 

.0204 SETTLEMENT CONFERENCES 

(a) A settlement conference shall not be conducted unless 
the Respondent agrees to participate and to waive any 
objection to the Board being exposed to a forecast of the 
evidence. 

(b) A settlement conference shall be conducted before the 
Board or a panel of the Board appointed by the President. 
At the settlement conference, a Board investigator shall 
summarize the circumstances of the investigation and 
present a forecast of the Ek)ard's evidence. The Respondent 
shall have an opportunity to forecast his or her evidence. 
Forecasts of the evidence may be presented orally or in 
writing and exhibits may be presented. Witnesses may 
forecast their own testimony but shall not be sworn nor 
cross-examined. The settlement conference shall not be 
recorded nor open to the public. The allowed time for 
initial presentations shall be agreed upon by counsel 10 days 
prior to the conference, subject to approval by the presiding 
Board member. 

(c) If the Board deems sanctions are appropriate, a 
Consent Order or letter of reprimand shall be proposed. 
Should the Respondent reject the terms of the Consent Order 
or letter of reprimand, a contested case hearing shall be 
scheduled for the next available Board meeting. 

Stamtory Authority G.S. 90-28; 90-41; 90-41. 1; 90-48; 90- 
223; 90-229; 90-231; 150B-41. 



CHAPTER 17 - BOARD OF DIETETICS/ 
NUTRITION 

Notice is hereby given in accordance with G.S. 
150B-21.2 that the North Carolina Board of Dietet- 
ics/Nutrition intends to amend rules cited as 21 NCAC 17 
.0101 - .0102, .0104. .0107, .0113 - .0114; and adopt rules 
cited as 21 NCAC 17 .0301 - .0304, .0401 - .0402. 

Proposed Effective Date: February 1, 1996. 

A Public Hearing will be conducted at 10:00 a.m. on 
December 19, 1995 at the Kresge Auditorium, Cate Center, 
Meredith College, 3800 Hillsborough Street, Raleigh, NC. 

Reason for Proposed Action: 

21 NCAC 17 .0101 - .0102, .0104, .0107, .0113 - .0114 - 

To amend rules defining terms and phrases and governing 
license requirement , application procedures , provisional 
license, fees, and Code of Ethics for professional practice 
and conduct. To amend rules to define terms and phrases 
which have not already been defined in G. S. 90, Article 25 
and 21 NCAC 17 .0100; to clarify titles, terms, letters and 
abbreviations which can only be used by a person who is 
licensed under G.S. 90. Article 25; to specify application 
policies and procedures for applicants who have obtained 
education outside of United States; to define and clarify 
terms and fees for provisional licensees; to increase issu- 
ance, renewal, examination and late fees: and to expand 
Code of Ethics for professional practice and conduct. 
21 NCAC 17 .0301 - .0304. .0401 - .0402 - To adopt rules 
governing dietetic/nutrition students or trainees, unlicensed 
individuals aiding the practice of dietetics/nutrition, and 
unlicensed individuals providing nutrition information. To 
adopt rules to define terms and phrases referenced in G.S. 
90, Article 25 and 21 NCAC 17 .0101 through .0203; to 
clarify requirements for dietetic /nutrition students or trainees 
to be in compliance with G.S. 90. Article 25; to establish 
supervision requirements for dietetic/nutrition students and 
trainees: and to clarify the records, reports and documenta- 
tion which must be completed, maintained and submitted on 
dietetic/nutrition students and trainees. To adopt rules to 
govern unlicensed individuals aiding the practice of dietet- 
ics/nutrition and unlicensed individuals providing nutrition 
information. 

Comment Procedures: Requests to make oral comments at 
the hearing must be received by the Board no later than 
5:00 p.m. on December 4, 1995; written comments must be 
received by the Board no later than 3:00 p.m. on December 
15, 1995. Comments should be limited to five minutes. 
Requests and comments should be addressed to the Executive 
Secretary. The North Carolina Board of Dietetics /Nutrition, 
1418 Aversboro Road, Gamer, NC 27529. 



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PROPOSED RULES 



Fiscal Note: These Rules do not affect the expenditures or 
revenues of local government or state funds. 

SECTION .0100 - LICENSURE 

.0101 DEFINmONS 

As used in this Chapter, the following terms and phrases, 
which have not already been defined in the Practice Act, 
G.S. 90-350 through 90-369, shall have the meanings 
specified: 



(1) 
(2) 
(3) 



(4) 



(5) 



16} 



(10) 



ilH 



"Act" means Dietetics/Nutrition Practice Act. 
"ADA" means The American Dietetic Association. 
"Applicant" means any person who has applied to 
the Board for a license to practice dietet- 
ics/nutrition in the State of North Carolina. 
"Application" means a written request directed to 
and received by the Board, on forms supplied by 
the Board, for a license to practice dietet- 
ics/nutrition in the State of North Carolina, to- 
gether with all information, documents and other 
materials required by the Board. 
"CDR" means the Commission on Dietetic Regis- 
tration that is the national certifying agency for 
voluntary professional credentialing in dietetics 
and nutrition and is a member of the National 
Commission for Health Certifying Agencies. 
"CAADE" means the Commission on Accredita- 
tion/Approval for Dietetics Education that is the 
national accrediting/approval body for dietetics 
education and supervised practice programs and is 
recognized as an accrediting body by the U.S. 
Etepartment of Education and the Commission on 
Recognition of Postsecondary Accreditation 
(CORPA). 

(7) "Degree" means a degree received from a 
college or university that was U.S. regionally 
accredited at the time the degree was conferred. 

(8) "Dietitian/nutritionist" means one engaged In 
dietetics/nutrition practice. 

(9) "Executive Secretary" means the person 
employed to carry out the administrative functions 
of the Board. 

"Herbalist" or other person performing herbalist 
activities means a person who has received from 
a regionally accredited college or university a 
minimum of an associate degree in herbology 
from a college or university accredited by an 
agency recognized by the U.S. Department of 
Education and the Commission on Recognition of 
Postsecondary Accreditation (CORPA). 
"Health care professional" means an individual 
who is duly licensed in accordance with an occu- 
pational licensing act in G.S. 90 with inclusion of 
the practice of dietetics/nutrition in the scope of 
practice which was effective prior to July 13, 
1991 and who engages in practice based on the 
human biosciences. Health care professionals may 



include but are not limited to those licensed in 
G.S. 90 to practice medicine, nursing, occupa- 
tional therapy, pharmacy, physical therapy, and 
speech pathology. 
(9) (12) "Nutrition assessment" means the evaluation 
of the nutrition needs of individuals and groups 
based upon appropriate biochemical, anthropomet- 
ric, physical, and dietary food intake and diet 
history data to determine nutrient needs and 
recommend appropriate nutrition intake including 
enteral and parenteral nutrition. 

f40) (13) "Nutrition counseling" means the advice and 
assistance provided by licensed dieti- 
tians/nutritionists to individuals or groups on 
appropriate nutrition intake by integrating Informa- 
tion from the nutrition assessment with informa- 
tion on food and other sources of nutrient and 
meal preparation consistent with cultural back- 
ground, socioeconomic status and therapeutic 
needs. 

f44-) (14) "Provisionally licensed dietitian/nutritionist" 
means a person provisionally licensed under this 
act. 

Statutory Authority G.S. 90-356(2); 90-368(1); 90-368(10). 

.0102 REQUIREMENT OF LICENSE 

A dietitian registered by the CDR shall have the right to 
use the title registered dietitian and the designation RD when 
the dietitian is currently licensed according to G.S. 90, 
Article 25. A dietitian certified by the American Society for 
Parenteral and Enteral Nutrition shall have the right to use 
the title certified nutrition support dietitian and the designa- 
tion CNSD when the dietitian is currently licensed according 
to G.S. 90, Article 25. 

Statutory Authority G. S. 90-356(2); 90-365. 

.0104 APPLICATIONS 

(a) Each applicant for initial licensure or renewal shall 
file a completed application with the Board. The application 
must be upon the forms and in the manner prescribed by the 
Board. 

(b) Applications shall be typed or written in ink, signed 
under the penalty of perjury and accompanied by the 
appropriate nonrefundable fees and by such evidence, 
statements or documents showing to the satisfaction of the 
Board that applicant meets requirements. 

(c) Applications are to be submitted to the address 
designated by the Board. 

(d) Approved applications and all documents filed in 
support thereof shall become the property of the Board. 

(e) The Board will not consider an application as offi- 
cially submitted until the applicant pays the application fee 
m full. 

(f) The Board must receive all required application 
materials from applicants seeking examination eligibility 



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November 15, 1995 2047 



PROPOSED RULES 



according to the following schedule: 

(1) Applicant seeking examination eligibility from 
CDR must submit application materials at least 
120 days prior to the date the applicant wishes to 
take the examination. 

(2) Applicant seeking examination eligibility from 
the Board must submit application at least 180 
days prior to the date the applicant wishes to 
take the examination. 

(g) The Executive Secretary will send a notice to an 
applicant who does not complete the application which lists 
the additional materials required. 

(h) The application for a license shall contain such 
information as the Board may reasonably require. 

(i) The submission of an application for licensing to the 
Board shall constitute and operate as an authorization and 
consent by the applicant to the Board to disclose and release 
any information or documentation set forth in or submitted 
with the applicant's application or obtained by the Board 
from other sources as required. 

(j) Applicants, who must provide evidence of current 
registration as a Registered Dietitian by the CDR in G.S. 
90-357(3)a, shall submit a notarized photocopy of the 
applicant's registration identification card. 

(k) Applicants, who must provide evidence of completing 
academic requirements in G.S. 90-357(3) b.l, c.l and d, 
shall either: 

(1) Submit official transcripts and a verification 
statement which includes the onginal signature 
of the Program Director of a college or univer- 
sity in which the course of study has been 
approved as meeting the current knowledge 
requirements of the ADA; or 

(2) Request, complete and submit documents for the 
evaluation of an equivalent major course of 
study as referenced in 21 NCAC 17 tGOO* .0103 
and submitting official transcripts from all 
colleges attended. 

(1) Applicants, who must provide evidence of completing 
supervised practice requirements in G.S. 90-367(3)b.2 and 
c.2, shall either: 

(1) Submit a verification statement which includes 
the original signature of the Program Director or 
Sponsor of a supervised practice program or 
plan which has been approved/accredited to meet 
the dietetic practice requirements of ADA; or 

(2) Request, complete and submit documents for the 
evaluation of the supervised practice experience 
as referenced in 21 NCAC 17 .0003. .0103. 

(m) Applicants who have obtained their education outside 
of the United States and its territories must: 

(I) Have their academic degree evaluated by an 
approved credentialing evaluation agency, as 
equivalent to the baccalaureate or higher degree 
conferred by a U.S. college or university ac- 
credited by the regional accrediting agencies 
recognized by the Council on Postsecondary 



Accreditation and the U.S. Department of Edu- 
cation; and 

(2) Have any diploma or other document required to 
be submitted to the Board which is not in the 
Einglish language be accompanied by a certified 
translation thereof in English by an approved 
credentials evaluation service; and 

(3) Demonstrate proficiency in the English language 
through passage of the competencv examination 
as defined in Rule .0105 of this Section T e st of 
Englinh as a Foreign Languag e (TOEFL) and the 
Test of Spoken English (TSE) which is are 
administered by the Educational Testing Service 
(ETS). 

Statutory Authority G.S. 90-356(2); 90-357. 

.0107 PROVISIONAL LICENSE 

(a) Applicants shall provide evidence of completing 
academic requirements by: 

(1) Submitting official transcripts and a verification 
statement which includes the original signature 
of the Program Director of a college or univer- 
sity in which the course of study has been 
approved as meeting the current knowledge 
requirements of the ADA; or 

(2) Requesting, completing and submitting docu- 
ments for the evaluation of an equivalent major 
course of study as referenced in 21 NCAC 17 
.0003 .0103 and submitting official transcripts 
from all colleges attended. 

(b) Applicants shall provide evidence of completing 
supervised practice requirements by: 

(1) Submitting a verification statement which In- 
cludes the original signature of the Program 
Director or Sponsor of a supervised practice 
program or plan which has been ap- 
proved/accredited to meet the dietetic practice 
requirements of ADA; or 

(2) Requesting, completing and submitting docu- 
ments for the evaluation of the supervised prac- 
tice experience as referenced in 21 NCAC 17 
.0003. .0103. 

(c) AppHcants shall provide evidence of making applica- 
tion to take the examination. 

(d) Provisional license may be issued for a period not 
exceeding one year and may be renewed from year to year 
for a period not to exceed five years upon completion of the 
following: 

(1) payment of annual fees; 

(2) submission of completed application as pre- 
scribed by the Board; 

(3) provision of documentation of having completed 
15 hours of continuing education approved by 
the Board for a one year period; 

(4) provision of evidence of making application to 
retake the examination; 



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PROPOSED RULES 



(5) provision of evidence of being under the dir e ct 
supervision of licensed dietitian(s)/nutritionist(s). 

(e) Proviflional liconood diotition/nutritionist shall bo under 
tho direct oupor i 'ieion of lioonoed di e titian(s)/nutritioniot(o) 
as defin e d in 31 NCAC 17 .0015(b) for at l e apt 70 p e rc e nt 
of tho hours employed. "Supervision" as referenced in G.S. 
90-361 means that licensed dietitian(s)/nutritionist(s) shall: 

(1) be available for consultation on delegated nutri- 
tion care activities being performed by the 
person being supervised; and 

(2) directly and personally examine, evaluate and 
a pprove the acts or functions of the person 
supervised; and 

(3) provide supervision that is characterized by a 
direct, first-hand association which is unre- 
stricted by an intervening position of influence. 

(f) Following the successful completion of the licensing 



examination, the provisionally licensed dietitianynutritionist 
shall remit completed application for upgrading license, 
payment of fees, and evidence of passing examination 
referenced in 21 NCAC 17 .0005. .0105. If the provision- 
ally licensed dietitian/nutritionist successfully completes the 
licensing examination and obtains a license pursuant to G.S. 
90-357 within six months of the date that the provisional 
license became effective, the provisional license or renewal 
fee shall be deducted from the issuance fee. 

(g) The Board will revoke a provisional license if the 
applicant fails to apply for the examination for licensure in 
a timely manner or does not take the examination. 

Statutory Authority G.S. 90-356(2); 90-356(9); 90-361. 



.0113 FEES 

In accordance with the provisions of the Act, the following fees, where applicable, are payable to the Board by check or 
money order. Fees are nonrefundable, except for the Issuance Fee, if application is not approved. 

Application Fee 

Issuance Fee 

License Renewal Fee 

Late Renewal Fee 

Examination Fee 

Provisional License Fee 

Provisional License Renewal Fee 

Provisional License Late Renewal Fee 

Duplicate License Certificate Fee 

Duplicate License Identification Card Fee 

Service Fee for Academic Program Approval by Board 

Service Fee for Supervised Practice Program Approval by Board 

Service Fee for Approval of License Requirements of Another State, 

Political Territory or Jurisdiction as Equivalent 
Service Fee for Prior Approval by Board for Continuing Educational Programs 
Service Fee for Annual Continuing Education Approval by Board for Licensee 





$ 25.00 


:i^JM 


100.00 


QS.m 


50.00 


5Ore0 


100.00 


100.00 


150.00 




35.00 




35.00 




70.00 




20.00 




10.00 




50.00 




75.00 




50.00 




25.00 




25.00 



Statutory Authority G.S. 90-356(2); 90-356(9); 90-361; 90-364. 



.0114 CODE OF ETHICS FOR PROFESSIONAL 

PRACTICE AND CONDUCT (3) 

Licensees, under the act, shall comply with the following 
Code of Ethics in their professional practice and conduct. (4) 

The Code which reflects the ethical principles of the 
dietetic/nutrition professional and outlines obligations of the (5) 

licensee to self, client, society and the profession, 

(1) The licensee shall provide professional services (6) 
with objectivity and with respect for the unique 

needs and values of individuals as determined (7) 

through the nutritional assessment. 

(2) The licensee shall avoid discrimination against 
other individuals on the basis of, but not limited to 

race, creed, religion, sex, age, national origin or (8) 



handicap. 

The licensee shall conduct all practices of dietet- 
ics/nutrition with honesty, and integrity. 
The licensee shall fulfill professional commit- 
ments. 

The licensee shall practice dietetics/nutrition based 
on scientific principles and current information. 
The licensee shall assume responsibility and 
accountability for personal competence in practice. 
The licensee shall inform the public and col- 
leagues of dietetic/nutrition services or products 
by use of factual Information that will not mislead 
the public. 
The hcensee shall not exercise undue influence on 



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PROPOSED RULES 



a client, including the promotion of the sale of 
services or products, for financial gain of the 
licensee or of a third party. 
(9) The licensee shall not reveal confidential data or 
information obtained in a professional capacity, 
without prior consent of the client, except as 
authorized or required by law. 

(10) The licensee shall recognize and exercise profes- 
sional judgment within the limits of the licensee's 
qualifications and shall not accept or perform 
professional responsibilities which the licensee 
knows or has reason to know that he or she is not 
qualified to perform. 

(11) The licensee shall take reasonable action, with 
prior consent of the client, to inform a client's 
physician or other allied health care practitioner in 
cases where a client's nutritional status indicates a 
change in health status. 

(12) The licensee shall give sufficient information 
based on the cUent's ability to process information 
such that the client can make his or her own 
informed decisions. 

(13) The licensee shall accurately present professional 
qualifications and credentials as follows; 

(a) The licensee shall use "LDN" when license is 
current and authorized by the North Carolina 
Board of Dietetics/Nutrition. 

(b) The hcensee shall provide accurate information 
and comply with all requirements of the North 
Carolina Board of Dietetics/Nutrition when 
seeking continued credentials from the North 
Carolina Board of Dietetics/Nutrition. 

(c) The licensee shall not aid another person in 
violating any North Carolina Board of Dietet- 
ics/Nutrition requirements or aid another person 
in representing himself/herself as an "LD", 
"LN" or "LDN" when he/she is not. 

(14) The licensee shall permit use of that licensee's 
name for the purpose of certifying that di- 
etetic/nutrition services have been rendered only 
if the licensee has provided or supervised those 
services. 

(15) When providing direct supervision to a student, 
trainee, provisional licensee, or person aiding the 
practice of dietetics/nutrition, the licensee shall 
assume responsibility for the supervision. 

(16) When licensee approves a weight control program, 
the licensee shall assume responsibility for the 
general program of weight control including the 
diet and the guidelines for instruction of custom- 
ers. 

(17) The licensee shall comply with all laws and 
regulations concerning the profession. 

(18) The licensee shall accept the obligation to protect 
society and the profession by upholding the Code 
of Ethics for professional practice and conduct and 
by reporting alleged misrepresentations and viola- 



tions of the Code and the Act to the Board. 

(19) The licensee shall not interfere with an investiga- 
tion of disciplinary proceeding by willful misrep- 
resentation of facts to the Board or its authorized 
representative or by the use of threats or harass- 
ment against any person. 

(20) The licensee or legal representative shall notify the 
Board and may be subject to disciplinary action by 
the Board under the following circumstances: 

(a) The licensee is a chronic or persistent user of 
intoxicants, drugs or narcotics to the extent that 
the same impairs his other ability to practice 
dietetics/nutrition. 

(b) The licensee has been adjudged to be mentally 
incompetent in a court of competent jurisdiction 
or a determination thereof by other lawful 
means. This adjudication of mental incompe- 
tency shall be conclusive proof of unfitness to 
practice dietetics/nutrition unless or until such 
person shall have been subsequently lawfully 
declared to be mentally competent. 

(c) The hcensee is mentally, emotionally, or physi- 
cally unfit to practice dietetics/nutrition and is 
afflicted with such a mental, emotional or physi- 
cal disability as to be deemed dangerous to the 
health and welfare of the client. 

(d) The hcensee has been convicted of or entered a 
plea of guilty or nolo contendere to any felony 
charge or to any misdemeanor charge involving 
moral turpitude under the laws of the United 
States or any of the states. 

(e) The hcensee has been disciplined by a state and 
at least one of the grounds for the discipline is 
the same or substantially equivalent to the 
grounds for discipline in this state. 

(f) The licensee has committed an act of misfea- 
sance or malfeasance in the practice of dietet- 
ics/nutrition as determined by a court of compe- 
tent jurisdiction, a licensing board, or an agency 
of a governmental body. 

(g) The licensee has violated any provisions of the 
act or any of these Rules. 

(21) The licensee shall not intentionally engane in any 
unauthorized, offensive bodily contact with a 
client while responsible for the care of that indi- 
vidual. 

Statutory Authority G. S. 90-356(3). 

SECTION .0300 - DIETETIC/NUTRmON 
STUDENTS OR TRAINEES 

.0301 DEFINITIONS 

As used in this Section, the following terms and phrases, 
which have not already been defined in G.S. 90, Article 25, 
shall have the meanings specified: "Direct supervision" as 
referenced in G.S. 90-368(2) means that a licensed dieti- 



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PROPOSED RULES 



tian/nutritionist shall: 

(Y) be physically present in the facility or institution 
when an act or function is being performed by the 
person supervised; and 

(T) provide supervision that is characterized by a 
direct, first-hand association which is unrestricted 
by an intervening position of influence; and 

(3) directly and personally examine, evaluate and 
approve the acts or functions of the person super- 
vised. 

Statutory Authority G.S. 90-356(2); 90-368(2). 

.0302 REQUIREMENTS 

A person who is enrolled in a course of study to complete 
the academic requirements in G.S. 90-357(3)b.l.. c.l. or d^ 
or who is fulfilling a supervised practice program to 
complete the experience requirements in G.S. 90-357(3)b.2. 
or c.l. shall be in compliance with G.S. 90-36 8 provided 
that: 

(1) The person is designated by a title which clearly 
indicates his/her status as a student or trainee 
and tihe person does not hold himself/herself out 
to be a dietitian or nutritionist or imply orally or 
in writing or indicate in any way that he/she is 
a dietitian/nutritionist; 

(2) The student or trainee submits evidence of 
enrollment and forward progress toward fulfill- 
ment of requirements to the Board on an annual 
basis: 

(3) The course of study is approved by the ADA or 
the Board as referenced in Rule .0103(2)(a). 
(3)(a) and (4j of dus Chapter, and the supervised 
practice program is accredited by the ADA or 
approved by the Board as referenced in Rule 
■0103(2)(1)) and (3)(b) of this Chapter; 

£4} TTie student or trainee is under the direct super- 
vision of a licensed dietitian(s)/nutritionist(s) for 
at least 70% of the practical experience or 
supervised practice program; and 

(5) The student or trainee is enrolled in a course of 
study for a period not to exceed five years and 
in a suf>ervised practice program for a period not 
to exceed two years. A student or trainee may 
submit a written request for Board a pproval of 
an extension of the period of time. 

Statutory Authority G.S. 90-356(2); 90-368(2). 

.0303 SUPERVISION 

(a) Each CAADE-accredited/approved or Board-approved 
dietetics/nutrition program shall designate a Program 
Director who: 



(21 



shall be currently licensed in good standing 
according to G.S. 90, Article 25; 
may meet the qualifications of the current stan- 
dards of education as referenced in the third 



edition of the "Accreditation/ Approval Manual 
for Dietetic Education Programs". This stan- 
dard includes any subsequent amendments and 
editions of the referenced material. Copies of 
this manual may be purchased for twenty -one 
dollars and ninety-five cents ($21.95) plus three 
dollars and fifty cents ($3.50) minimum shipping 
and handling from the ADA Sales Order Depart- 
ment, P.O. Box 97215. Chicago. IL 60678- 
7215; 
(3) shall meet the employment qualifications of the 
sponsoring institution. 
(h) In accordance with the current standards of education 
referenced in this Rule, a Program Director shall: 

(1) provide student/trainee advisement, evaluation, 
counseling and supervision; 

(2) provide academic or supervised practice program 
assessment, planning, implementation and evalu- 
ation; 

(3) inform student(s)/trainee(s) of laws, regulations 
and standards affecting the practice of dietet- 
ics/nutrition, including but not limited to the 
Dietetics/Nutrition Practice Act and its Rules; 
and 

(4) advise student(s)/trainee(s) on meeting the 
requirements to be licensed to practice dietet- 
ics/nutrition. 

(c) The students/trainees shall be directly supervised by 
licensed dietitians/nutritionists for 70% of the practical 
experience or supervised practice program. 

(d) The faculty/staff who are not licensed according to 
G.S. 90. Article 25 must have appropriate academic and 
experiential qualifications for the program areas in which 
they provide direct supervision of the student/trainee. 

Statutory Authority G. S. 90-356(2); 90-368(2). 

.0304 RECORDS AND REPORTS 

(a) Permanent and current records shall be available for 
review by representatives of the Board. The Board may 
make use of facts supplied in determining compliance with 
G.S. 90-368 and in approving applications for a license. 

(b) The record for each enrolled student shall contain up- 
to-date and complete information, including: 

(1) documentation of admission criteria met by the 
student; 

(2) transcript of credit hours achieved in the class- 
room, laboratory and practical experience that 
reflects progression consistent with program 
policies. 

(c) The Program Director of the dietetics/nutrition 
program shall document the completion of the academic or 
supervised practice program requirements for each student 
or trainee on the forms prescribed by the Board and shall 
submit the forms to the student or trainee for inclusion in 
the license a pplication. Each form verifying the completion 
of the requirements shall include the original signature of 



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NORTH CAROLINA REGISTER 



November 15, 1995 



2051 



PROPOSED RULES 



the Program Director and shall include a signature date on 
or following the date of the program completion. 

(d) The Program Director of the dietetics/nutrition 
program shall file with the Board such records, data, and 
re ports as may be required in order to furnish information 
concerning operation of the program and concerning any 
student or graduate of the program. These records, data 
and reports include but are not necessarily limited to: 

(1) an Annual Report giving all data requested on 
the form provided by the Board for the period 
beginning fall term through summer term and 
submitted to the Board office within 20 business 
days after the initiation of the fall term but no 
later than October 1 of the current year; 

(2) a Supplementary Report giving all data requested 
on the form provided by the Board for any 
changes that have occurred on the current An- 
nual Report and submitted to the Board office no 
later than 20 business days after the occurrence 
of that change: 

(3) a Graduation Report giving all data requested on 
the form provided by the Board for the current 
graduation period no later than 20 business days 
after the date of the graduation: 

(4) a Supervised Practice Program Completion 
Report giving all data requested on the form 
provided by the Board for the current program 
period no later than 20 business days pnor to the 
completion date of the program: 

(5) notification of any change in employment of the 
Program Director within 20 business days of the 
effective date of the change: 

(6) notification of any change in the person(s) 
providing direct supervision of the stu- 
dent(s)/trainee(s) within 20 business days of the 
effective date of the change: 

(e) The Board may require additional records and reports 
for review at any time to provide evidence and substantiate 
compliance with standards of education, the law and the 
rules of the Board. 

Statutory Authority G. S. 90-356(2); 90-368(2). 

SECTION .0400 - UNLICENSED INDIVIDUALS 

.0401 INDIVIDUALS AIDING THE PRACTICE 
OF DIETETICS/NUTRITION 

(a) As used in this Section, the following terms and 
phrases, which have not already been defined in G.S. 90. 
Article 25. shall have the meanings specified: 

(1) "Certified Dietary Manager" means an individ- 



ual who is certified by the Certifying Board of 
the Dietary Managers and meets the standards 
and qualifications as referenced in the "Dietary 
Manager Training Program Requirements". 
These standards include any subsequent amend- 
ments and editions of the referenced manual . 



Copies of the "Dietary Manager Training Pro- 
gram Requirements" may be purchased for 
fifteen dollars ($15.00) from the Dietary Manag- 
ers Association. One Pierce Place. Suite 1120W. 
Itasca. Illinois 60143. 
(2) "Dietetic Technician Registered" or "DTR" 

means an individual who is registered by the 
Commission on Dietetic Registration of the 
American Dietetic Association according to the 
standards and quaUfications as referenced in the 
third edition of the "Accreditation/ Approval 
Manual for Dietetic Education Programs". This 
standard includes any subsequent amendments 
and editions of the referenced material. Copies 
of this manual may be purchased for twenty -one 
dollars and ninety-five cents ($21.95) plus three 
dollars and fifty cents ($3.50) minimum shipping 
and handling from the ADA Sales Order Depart- 
ment. P.O. Box 97215, Chicago. IL 60678- 
7215. 



(3} 



£A1 



mi 



£C1 



£41 



"Direct supervision" as referenced in G.S. 90- 

368(4) means that a licensed dietitian/nutritionist 

shall: 
be available for consultation on delegated 
nutrition care activities being performed by the 
person being supervised: and 
directly and personally examine, evaluate and 
approve the acts or functions of the person 
supervised: and 

provide supervision that is characterized by a 
direct, first-hand association which is unre- 
stricted by an intervening position of influence. 

'Nutrition care activities" means activities 



performed by unlicensed personnel which are 
delegated by licensed dietitians/nutritionists in 
accordance with Paragraphs (c) and (d) of this 
Rule and which support the provision of nutri- 
tion care services as referenced in G.S. 90- 
352(4). Nutrition care activities include the 
provision of nutrition care to prevent a medical 
condition, illness or injury and the provision of 
weight control programs or services, 
(b) Unlicensed personnel aiding the practice of dietet- 
ics/nutrition may include but are not limited to the follow- 
ing: 



m 

(2} 



M 



a Certified Dietary Manager: 
a Dietetic Technician Registered: or 
an individual who has met the academic require- 
ments as referenced in G.S. 90-357(3)b.l. c.l 
and d^ 
The licensed dietitian/nutritionist may delegate 



nutrition care activities to unlicensed personnel that are 
appropriate to the level of knowledge and skill of the 
unlicensed personnel. TTie licensed dietitian/nutritionist is 
responsible for supervision of the nutrition care activities of 
the unlicensed personnel and maintains responsibility for 
nutrition care activities performed by all personnel to whom 



2052 



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PROPOSED RULES 



the care is delegated. The acts and functions included in the 
scope of employment or contract of persons providing 
nutrition care services, nutrition care activities, weight 
control services and nutrition information or education shall 
be documented in writing. 

(d) The following variables are to be considered by the 
licensed dietitian/nutritionist in determining whether or not 
an activity may be delegated to unlicensed personnel and in 
determining the amount of direct supervision which is 
required on site: 

(1) knowledge and skills of the unlicensed personnel 
which include both basic educational and experi- 
ence preparation and continuing education and 
experience; 

(2) verification of competence of the unlicensed 
personnel; 

(3) the variables in each service setting which 
include but are not limited to: 

(A) the complexity and frequency of nutrition care 
needed by a given client population; 

(B) the acuity and stability of the client's condi- 
tion; 

(C) the accessible resources; and 

(D) established policies, procedures, practices, and 
channels of communication which lend support 
to the types of nutrition care activities being 
delegated, or not delegated, to unlicensed 
personnel. 

Statutory Authority G. S. 90-356(2); 90-368(4). 

.0402 ESfDIVIDUALS PROVIDING ^fUTRITION 
INFORMATION 

(a) As used in this Section, the following terms and 
phrases, which have not already been defined in G.S. 90, 
Article 25, shall have the meanings specified: 



(B) reports on valid scientific studies published in 
peer-reviewed medical or dietetics and nutri- 
tion journals or publications. 
(h) An individual who provides nutrition information or 
education shall be in compliance with G.S. 90-368 provided 
that: 

(1) The person does not hold himself/herself out to 
be a dietitian or nutritionist or imply orally or in 
writing or indicate in any way that he/she is a 
dietitian/nutritionist; 
£2} The person does not provide nutrition care 
services or nutrition care activities which have 
not been delegated to him/her by a licensed 
dietitian/nutritionist; 
(3) The person provides nutrition information on or 
about food, food materials or dietary supple- 
ments, and does not provide nutrition informa- 
tion on the nutritional needs of the consumer; 
£4} The person provides nutrition information in 
connection with the marketing and distribution of 
the food, food materials, dietary supplements or 
other goods to be provided or sold, and does not 
provide nutrition information in connection with 
the marketing and distribution of nutrition ser- 
vices; 

(5) The person provides nonfraudulent nutrition 
information which is based on valid scientific 
reports and studies, is not false or misleading, 
and is safe; and 

(6) The person provides the nutrition information on 
food, food materials, nutraceuticals. dietary 
supplements or other goods in accordance with 
federal, state and local laws, regulations and 
ordinances, including but not limited to G.S. 90. 
Article 25. 



(1) "Nutrition information" means nonfraudulent Statutory Authority G. S. 90-356(2); 90-368. 



m 



nutrition information related to food, food 
materials, or dietary supplements which is 
designed for one or more healthy population 
groups and is based on valid scientific evidence, 
reports and studies. Nutrition information is not 
based on an individual nutrition assessment as 
referenced in G.S. 90-352 and 21 NCAC 17 
■ 0101(9) and is not individualized to provide 
nutrition care services to prevent, manage, treat, 
cure or rehabilitate a medical condition, illness. 
or injury for a specific person or group as 
referenced in G.S. 90-352 and 2i NCAC H 
■0101 (10). 

"Reported or historical use" means information 
about food, food materials or dietary supple- 
ments which is based on the following: 
(A) historical or methodological studies or research 
conducted by qualified experts in the field 
using sound scientific methods with random- 
ized controlled clinical trials; or 



CHAPTER 22 - HEARING AID DEALERS 
AND FITTERS BOARD 

Notice is hereby given in accordance with G.S. 
150B-21.2 that the North Carolina State Hearing Aid 
Dealers and Fitters Board intends to amend rules cited as 21 
NCAC 22A .0203. .0309; 22F .0003 - .0004, .0007 - .0008. 
.0013 - .0014, .0016, .0018, .0020; 221 .0008 - .0009; 22K 
.0004; 22L .0001, .0005 - .0006, .0009 - .0011, .0013, 
.0015; repeal 21 NCAC 22L .0014 and adopt 21 NCAC 22F 
.0021; 22K .0005. 

Proposed Effective Date: February 1, 1996. 

A Public Hearing will be conducted at 2:00 p.m. on 
November 30, 1995 at the Richard B. Harrison Public 
Library, 1313 New Bern Avenue, Raleigh, NC 27610. 



10:16C 



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November 15, 1995 



2053 



PROPOSED RULES 



Reason for Proposed Action: 

21 NCAC 22A .0203 - This rule is proposed for amendment 
in order to establish bimonthly meetings of the Board. 
21 NCAC 22A .0309 - This rule is proposed for amendment 
in order to clarify thai a "duly made application " is one that 
has been physically received in the office of the Board. 
21 NCAC 22F .0003 - This rule is proposed for amendment 
in order to clarify the procedure for submission of applica- 
tions to the Board; and to clarify' the procedure when fees 
are paid by company or personal check. 
21 NCAC 22 F .0004 - This rule is proposed for amendment 
in order to establish that the Board shall not issue a license 
by reciprocity. 

21 NCAC 22F .0007 - This rule is proposed for amendment 
in order to establish that the results of the qualifying 
examination shall be issued no later than ten working days 
after the date of the examination. 

21 NCAC 22F .0008 - This rule is proposed for amendment 
in order to clarify the procedure for requesting an opportu- 
nity to review a failed examination. 

21 NCAC 22F .0013 - This rule is proposed for amendment 
in order to clarify when a report of the apprenticeship 
experience must be submitted; and to clarify when an 
apprentice 's initial or renewal certificate shall expire. 
21 NCAC 22 F .0014 - Thus rule is proposed for amendment 
in order to establish that the Board must receive written 
notice of intent to attend the examination preparation 
workshop at least ten working days prior to the workshop 's 
starting date. 

21 NCAC 22F .0016 - This rule is proposed for amendment 
m order to clarify the procedures that apply when there is a 
separation of the apprentice and the sponsor. 
21 NCAC 22F .0018 - This rule is proposed for amendment 
in order to clarify the procedure for notifying the Board of 
address changes. 

21 NCAC 22 F .0020 - This rule is proposed for amendment 
in order to clarify the procedure for obtaining information 
concerning the Board's current requirements for continuing 
education. 

21 NCAC 22F. 0021 & 21 NCAC 22K .0005 - These rules 
are proposed for adoption in order to clarify how an 
applicant for reinstatement of an expired license satisfies the 
Board's requirement for annual continuing education, and 
to establish the circumstances under which the Application 
for License form is to be used. 

21 NCAC 221 .0008 - This rule is proposed for amendment 
in order to establish the circumstances under which the 
Board shall require proof of audiometer calibration for an 
individual applying for annual license renewal. 
21 NCAC 221 .0009 - This rule is proposed for amendment 
in order to clarify the procedure for obtaining information 
from the Board concerning the approval of calibraters. 
21 NCAC 22 K .0005 - This rule is proposed for amendment 
in order to establish the circumstances under which the 
Application for License form is to be used, and to maintain 
proper codification. 
21 NCAC 22L .0001 - This rule is proposed for amendment 



in order to establish that three members of the Board shall 

serve on the Committee on Investigations and that the Board 

shall determine whether or not there is probable cause to 

justify a disciplinary hearing, and to establish the procedure 

for referring anonymous advertising complaints to the 

Board's Committee on Investigations. 

21 NCAC 22L .0005 - This rule is proposed for amendment 

in order to clarify the Board 's procedure for giving parties 

in a contested case a notice of hearing. 

21 NCAC 22L .0006 - This rule is proposed for amendment 

in order to establish that, for all of the Board 's contested 

case hearings, the Board shall apply for the designation of 

an administrative law judge to hear the case. 

21 NCAC 22L .0009 - This rule is proposed for amendment 

in order to clarify the procedure for conducting informal 

pre-hearing conferences regarding a contested case. 

21 NCAC 22L .0010 - This rule is proposed for amendment 

in order to clarify the procedure for disqualification of a 

Board member concerning participation in the final agency 

decision regarding a contested case. 

21 NCAC 22L .0011 - This rule is proposed for amendment 

in order to clarify the procedure for granting continuances 

and adjournments regarding a contested case. 

21 NCAC 22L .0013 - This rule is proposed for amendment 

in order to clarify the procedure for subpoenas regarding a 

contested case. 

21 NCAC 22L .0014 - This rule is proposed for repeal 

because it would contradict the proposed amendments to 21 

NCAC 22L .0006 which proposes that an administrative law 

judge shall hear all of the Board 's contested cases. 

21 NCAC 22L .0015 - This rule is proposed for amendment 

in order to clarify the procedure for the administrative law 

judge to issue a proposal for decision and the Board to 

render its final agency decision regarding a contested case. 

Comment Procedures: Written comments concerning these 
rule-making actions must be received at the Board 's office 
no later than December 15, 1995. Requests to make oral 
comments at the hearing must be received at the Boards 
office no later than 11:00 a.m. on November 30, 1995. 
Oral comments are limited to 10 minutes. Send written 
correspondence to Rule-making Coordinator, NCSHADFB, 
401-III, Oberlin Road, Raleigh, NC 27605. 

Fiscal Note: These Rules do not affect the expenditures or 
revenues of state or local government funds. 

SUBCHAPTER 22A - BOARD RULES 

SECTION .0200 - THE BOARD 

.0203 MEETINGS OF THE BOARD 

Meetings of the Board shall be held quart e rly bimonthly or 
on the call of the president, the executive secretary, or a 
majority of the members of the Board. The annual meeting 
to elect the president and the secretary-treasurer shall occur 
between the fifteenth day of July and the fifteenth day of 



2054 



NORTH CAROLINA REGISTER 



November 15, 1995 10.16C 



PROPOSED RULES 



August in each year. The dates for the quarterly bimonthly 
meetings for the Board's ensuing year and the examination 
preparation workshop dates for the upcoming calendar year 
shall be approved at that time. 

Statutory Authority G.S. 93D-3(b). 

SECTION .0300 - DEFINmONS 

.0309 DULY MADE APPLICATION 

"Duly made application" shall mean that the completed 
appUcation form, including all required documents, photo- 
graphs, and fees, and any supplemental information re- 
quested by the Board, is in th e hands of th e e x e cutiv e 
Door e tary of physically received in the office of the Board. 

Statutory Authority G.S. 93D-3(c). 

SUBCHAPTER 22F - GENERAL EXAMINATION 
AND LICENSE PROVISIONS 

.0003 SUBMISSION OF APPLICATIONS 
AND FEES 

(a) A duly made application for issuance or renewal of an 
apprentice registration certificate shall be submitted to the 
oxooutivo o e or e tar)' of th e Board no later than ten working 
days after the date that any of the following conditions exist: 

(1) Whenever a registered apprentice is separated 
from his sponsor for any reason and such indi- 
vidual wishes to obtain a new certificate to 
replace the invalidated certificate; 

(2) Whenever a registered apprentice is notified by 
the oxocutivo socrotar)' of tho Board that he 
failed to pass the qualifying examination and 
such individual wishes to renew his certificate; 

(3) Whenever the oxocutivo socrotary of tho Board 
notifies the individual that his apprentice regis- 
tration certificate has been invalidated for any 
reason and such individual wishes to obtain a 
new certificate to replace the invalidated certifi- 
cate; and 

(4) Whenever an Audiologist duly makes application 
for issuance of a license by examination and that 
individual elects to become a registered appren- 
tice in order to engage in the fitting and selling 
of hearing aids, under the supervision of a 
Ucensee approved by the Board, while waiting to 
take the next scheduled qualifying examination. 

(b) A registered apprentice who holds a masters degree in 
Audiology and is not an Audiologist, as defined in 21 
NCAC 22A .0301 (2), may first apply for iosuono e of a 
liconso by oxamination any timo after that individual has 
complotod must complete 250 clock hours of supervision by 
a Ucensee approved by the Board. However, no later than 
ten working days after any registered apprentice who is not 
an Audiologist has held a valid apprentice registration 
certificate for 365 calendar days, the apprentice shall submit 



a duly made application for issuance of a license by exami- 
nation and shall take the next scheduled qualifying examina- 
tion. All registered apprentices shall reapply for a license 
by examination, within the time prescribed in Paragraph (c) 
of this Rule, each time they take and fail to pass the 
qualifying examination. 

(c) Whenever a registered appUcant is required to take the 
qualifying examination as a condition for issuance of a 
Ucense or reissuance of a suspended license, the duly made 
application shall be considered by the Board to be timely if 
it i s in th e handg of th e e x e cutiv e ooorotar>' received by the 
Board no later than 30 consecutive days prior to the exami- 
nation date. The Board shall have the right to refuse any 
person admission to the qualifying examination if such 
individual has not duly made application for issuance or 
reissuance of a license, has not attended an examination 
preparation workshop as set forth In 21 NCAC 22F .0014 
(b), or has not made a timely filing. 

(d) All fees should be paid to th e e x e cutiv e ooorotoj)' by 
a banl( chock, cortifiod chock, or monoy order and shall bo 
made payable to the N.C. Hearing Aid Dealers and Fitters 
Board. When a company or personal check is received in 
payment of any fee, the Board wiU may wait until final 
credit on such the check is received before providing the 
license or other document requested. A processing fee of 
twenty dollars ($20.00) (or any greater amount allowed by 
law) will be charged for any check on which payment is 
refused by the payor bank because of insufficient funds or 
because the drawer did not have an account at that bank at 
the time the check was presented to the Board. 

Statutory Authority G.S. 93D-3(c); 93D-5; 93D-9. 

.0004 QUALIFICATIONS 

(a) The Board may require such supplemental information 
to all applications for issuance and renewal of a license or 
an apprentice registration certificate as it deems necessary 
to determine the facts governing the qualifications of each 
Ucensee, registered applicant, and registered apprentice, as 
set forth in these Rules and in Chapter 93 D of the General 
Statutes of North Carolina. Supplemental information may 
include, but is not necessarily limited to, letters of recom- 
mendation, affidavits, photographs, official transcripts, and, 
if warranted, personal appearances before the Board. 

(b) Any registered apprentice who holds a masters degree 
in Audiology and any Audiologist who elects to be a 
registered apprentice shall, prior to the next scheduled 
qualifying examination, submit to 250 clock hours of direct 
supervision by a Ucensee approved by the Board, whenever 
such apprentice takes and fails to pass the qualifying 
examination. 

(c) Any registered apprentice who is not an Audiologist 
and does not hold a masters degree in Audiology shall, for 
each week prior to the next scheduled qualifying examina- 
tion, submit to 15 clock hours of direct supervision by a 
licensee approved by the Board, whenever such apprentice 
takes and fails to pass the qualifying examination. 



10:16C 



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November 15, 1995 



2055 



PROPOSED RULES 



(d) Whereas the Board is not compelled to issue any 
hcense pursuant to G.S. 93D-6, the Board shall not issue a 
license by reciprocity. 

Statutory Authority G.S. 93D-3(c); 93D-5; 93D-6; 93D-9. 

.0007 COMMUNICATION OF RESULTS 
OF EXAMINATIONS 

(a) Pursuant to G.S. 93B-8 (b), each registered applicant 
shall be identified by number, rather than by name, for 
purpose of the examination. 

(b) The oxocutivo 9ocrotar>' office of the board Board 
shall issue written notification to each registered applicant, 
concerning only his own performance on the qualifying 
examination, no later than 11 oons e outiv e 10 working days 
after the roaults date of the examination, examination aro in 
tho hands of tho oxocutivo 90crotar>'. 

Statutory Authority G.S. 93B-8: 930-3 (c). 

.0008 REVIEW OF EXAMINATION 

As set forth in G.S. 93B-8 (c), each registered applicant 
who takes and does not pass the qualifying examination shall 
be granted an opportunity to review his examination in the 
presence of a representative of the Board, upon written 
request from the apphcant. Such written request shall be ia 
th e hands of tho oxocutivo oooretnry of received by the 
Board no later than 30 consecutive days after the written 
notification of the examination results was issued by the 
e x e cutiv e s e cr e tary'. Board. Such review shall be held at the 
Board's offio e o office unless the e x e cutiv e o e cr e tar>' Board 
determines that the review should be held at another 
location. 

Statutory Authority G.S. 93B-8; 93D-3(c). 

.0013 APPRENTICESHIP REQUIREMENTS 

(a) Pursuant to G.S. 93D-9, each individual who duly 
makes application for issuance or renewal of an apprentice 
registration certificate shall submit a plan, using the form 
provided by the Board, for completing the supervision 
requirement for the apprenticeship. The registered appren- 
tice shall submit a report of the apprenticeship experience, 
using the form provided by the Board, no later than ten 
working days after the date that any of the following 
conditions exist: 

(1) The apprentice and his sponsor are separated for 
any reason and thus causing the apprentice 
registration certificate to become invalidated; 

(2) The apprentice, who is not an Audiologist, has 
held a vahd apprentice registration certificate for 
365 calendar days; 

(3) The apprentice, who holds a masters degree in 
Audiology and is not an Audiologist, has com- 
pleted 250 clock hours of supervision, prior to 
first taking the qualifying examination; 

(4) The apprentice has been notified by the oxocu 



tivo !K > Grotar>' of tho board Board that he failed 
the qualifying examination and the individual is 
reapplying for issuance of a license by e xanuna ■ 
tion; examination; or 

(5) TTio approntioo, who has ronov i 'cd hi9 approntico 

r e giotration c e rtificat e aft e r failing to pass th e 
quahfy'ing oxamination. has b ee n notifi e d by th e 
oxocutivo sccrotar^' of tho Board that ho has 
passod tho subsequent qunlify^ing oxamination; o f 

£5) (6)The Board has issued a written request to the 
registered apprentice for submission of a report, 
in order to determine fulfillment of the appren- 
tice experience requirements. 

(b) The initial apprentice registration certificate issued to 
any person who is not an Audiologist, and any subsequently 
issued replacements for an invalidated certificate, shall 
expire after the apprentice has held a valid apprentice 
registration certificate for a total of 365 calendar days. 
Upon receipt of a duly made application for issuance of a 
license by examination, the Board shall, when necessary, 
extend the certificate, at no charge to the registered appren- 
tice, until 30 consecutive days after the reoulto date of the 
next scheduled qualifying examination, e xamination ar e in 
tho hands of tho oxocutivo socrotary of tho Board. The 
initial apprentice registration certificate, and any replace- 
ments which are issued to an Audiologist prior to his first 
taking the qualifying examination, shall expire 30 consecu- 
tive days after the results date of the next scheduled qualify- 
ing examination, oxamination are in tho hands of tho 
e x e cutiv e s e cr e tary of th e Board. 

(c) Whenever any registered apprentice takes and fails to 
pass the qualifying examination, the individual may duly 
make application for issuance of a renewal certificate which 
may be issued for good cause shown to the satisfaction of 
the Board. Such certificate shall expire 30 consecutive days 
after the results date of the next scheduled qualifying 
examination, oxamination are in tho hands of the oxocutivo 
o e or e tar)' of th e Board. 

(d) All registered apprentices shall comply with the rules 
and regulations, including the code of ethics, promulgated 
by the Board and with the provisions set forth in Chapter 
93D of the General Statutes of North Carolina. Failure to 
comply shall be sufficient grounds to invalidate an appren- 
tice registration certificate, to deny future applications for 
issuance of an apprentice registration certificate, to deny 
renewal of an apprentice registration certificate, or to deny, 
suspend or revoke a hcense after proper notice and hearing. 

Statutory Authority G.S. 93D-3(c); 93D-9(e). 

.0014 TRAINING AND SUPERVISION 

(a) Each registered apprentice, excluding those Audiolo- 
gists who elect to be a registered apprentice while waiting 
to take the qualifying examination for the first time, shall 
submit to direct supervision by a licensee who is approved 
by the Board and who shall be responsible for the appren- 
tice's training and supervision in the following areas: 



2056 



NORTH CAROLINA REGISTER 



November 15, 1995 10.16C 



PROPOSED RULES 



(1) Anatomy, physiology, and pathology of the 
auditory mechanism; 

(2) Measurement techniques and test interpretation 
for assessment of hearing impairment and hear- 
ing handicap; 

(3) Hearing aid technology including instrument 
circuitry and acoustic performance data; 

(4) Design, selection, and modification of 
earmold/shell coupling systems; 

(5) Hearing aid selection procedures, and fitting and 
adjustment techniques; 

(6) Post-delivery care including hearing aid orienta- 
tion and counseling techniques, and hearing aid 
servicing; 

(7) Ethical conduct and regulatory issues concerning 
the fitting and selling of hearing aids; and 

(8) Other related topics that the sponsor or appren- 
tice deem necessary. 

(b) Before taking the qualifying examination for the first 
time, each registered apprentice who is not an Audiologist 
shall attend an examination preparation workshop, approved 
or sponsored by the Board, which consists of one 3-day 
session. The workshop dates will be scheduled in conjunc- 
tion with the dates for the qualifying examinations. Infor- 
mation concerning the scheduled times, dates, and topics for 
each workshop may be obtained from the oxooutivo oooro 
tefy office of the Board. Written notice of intent to attend 
any or al! of the daily sessions must be in tho hands of tho 
oxocutivo sccrotnr)' of received by the Board at least thirty 
10 working days prior to the starting date of each workshop. 

(c) The Board shall have the right to refuse any person 
admission to the workshop sessions if the individual is not 
a registered apprentice or a registered applicant, or if timely 
notification of intent to attend was not made in accordance 
with Paragraph (b) of this Rule. 

Statutory Authority G.S. 93D-3(c); 93D-5; 93D-9. 



ing to the oxooutivo socrotnry office of the 

Board, within ten working days after such 

separation, the original and all copies of the 

apprentice's invalidated apprentice registration 

certificate that may be in the possession of the 

sponsor. 

(b) Failure to abide by the procedures stated in this Rule 

may result in denial of any future applications for issuance 

of an apprentice registration certificate or a license, and may 

result in disciplinary action for the sponsor after proper 

notice and hearing. 

Statutory Authority G.S. 93D-3(c): 93D-5: 93D-9. 

.0018 CHANGE OF ADDRESS 

It is the duty of all licensees, registered applicants, and 
registered apprentices to notify the executive siocrotary of tho 
Board, within ten working days, of any change in the 
business name(s) or the street address(es), within the State 
of North Carolina, of their place(s) of business or proposed 
place(s) of business. Failure to do so may result in disci- 
plinary action after proper notice and hearing. 

Statutory Authority G.S. 93D-3(c): 93D-7; 93D-10. 

.0020 CONTINUING EDUCATION 

Each licensee shall be required to obtam a specified 
number of Continuing Education Units, on an annual basis, 
as a requirement for license renewal. The duty of obtaining 
information regarding the number of required continuing 
education program clock hours of credit or the topic content 
categories applicable for credit, and for obtaining the forms, 
issued by the Board, for requesting program approval and 
attendance verification is solely the responsibility of the 
licensee. Current requirements may be obtained from the 
oxooutivo sooretar)' office of the Board and these require- 
ments shall be reviewed annually by the Board. 



.0016 SEPARATION OF APPRENTICE AND 
SPONSOR 

(a) In any case where a registered apprentice is separated 
from his sponsor for any reason the apprentice registration 
becomes invalid and the following procedures shall apply: 

(1) The apprentice shall return the original and all 
copies of his invalidated apprentice registration 
certificate, along with hio pooket id e ntification 
card which wag issu e d by th e Board, to the 
oxocutivo socrotar)' office of the Board within 
ten working days after such separation; 

(2) The apprentice shall cease to fit and sell hearing 
aids until a new certificate is issued by the 
Board; 

(3) The sponsor shall notify the oxocutivo socrotar^' 
of th e board, Board, in writing, of any separa- 
tion from his apprentice within ten working days 
after such separation; and 

(4) The sponsor shall assist the apprentice by retum- 



Statutory Authority G.S. 93D-3(c); 930-11. 

.0021 REINSTATEMENT OF AN EXPIRED 
LICENSE 

(a) For those applicants seeking reinstatement of a license 
that has been expired for more than 60 days but less than 
five years, the applicant may satisfy the Board's requirement 
for aimual continuing education as a condition for license 
renewal by taking and passing the Board's qualifying 
examination. 

£b) For those applicants seeking reinstatement of a license 
that has been expired for five or more years, evidence of 
satisfactory completion of the Board's annual continuing 
education requirement shall consist of the applicant taking 
and passing the Board's qualifying examination. 

(c) If the applicant cited in Paragraph (b) of this Rule has 
continuously held a valid license to fit and sell hearing aids 
in another State or jurisdiction for the five consecutive years 
prior to seeking North Carolina license reinstatemen t, that 



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PROPOSED RULES 



individual shall only be required to take and pass the portion 
of the Board's qualifying examination that addresses 
regulatory issues. 

Statutory Authority G.S. 93D-3(c); 93D-11. 

SUBCHAPTER 221 - PROFESSIONAL 
AFFAIRS 

.0008 CALIBRATION CHECK FOR 
AUDIOMETERS 

(a) All audiometers used in the fitting and selling of 
hearing aids shall have an annual calibration check and be 
recalibrated, if necessary, in accordance with the standards 
cited in Rule .0010 of this Subchapter. 

(b) Whenever any individual applies for issuance or 
renewal of a license or an apprentice registration certificate, 
the Board shall require proof of audiometer calibration 
within the 12 consecutive months preceding such applica- 
tion. If any individual applying for annual renewal of a 
license provides the Board with an affidavit from the 
applicant that the applicant is not engaged in or being 
compensated for any activity requiring a North Carolina 
license to fit and sell hearing aids, the Board shall exempt 
the individual from this annual license renewal requirement 
for up to three consecutive renewal years. If granted this 
exemption, the individual shall not engage in or be compen- 
sated for any activity requiring a North Carolina license to 
fit and sell hearing aids until the mdividual has furnished the 
Board with proof of audiometer calibration occurring within 
the preceding 12 consecutive months. 

Statutory Authority G.S. 93D-3(c). 

.0009 APPROVAL OF CALIBRATERS 

The Board shall not accept calibration records from any 
individual or calibration center unless such individual or 
center has been approved by the Board prior to calibration. 
Manufacturers of audiometers may calibrate without prior 
approval of the Board. A list of authorized individuals and 
centers, as well as the form used to apply to become an 
authorized calibrater, may be obtained from the e x e cutiv e 
s ecrotary- office of the Board. 

Statutory Authority G.S. 93D-3(c). 

SUBCHAPTER 22K - FORMS 

.0004 APPLICATION FOR LICENSE 
RENEWAL 

Th e forniD liotod in 21 NCaC 22K .0001 may b e obtain e d 
from the executive sccrotar>' of the Board. The Application 
for License Renewal form shall be used on each occasion 
that an individual is applying for renewal of an unexpired 
license. 

Statutory Authority G.S. 93D-3(c): 1508-11(1). 



.0005 ACCESS TO FORMS 

The forms listed in 21 NCAC 22K .0001 may be obtained 
from the office of the Board. 



Statutory Authority G.S. 93D-3(c). 

SUBCHAPTER 22L - ADNHNISTRATIVE 
HEARINGS: CONTESTED CASES 

.0001 COMMITTEE ON INVESTIGATIONS 

(a) Upon receipt of a written charge alleging misconduct 
against a licensee or registrant of the Board, the Exccutivo 
S e cr e tary' Board shall inform the accused party in writing of 
the nature of the charges as filed with the Board. 

(b) The accused party shall respond to the charges by 
filing a written answer with the Board within 20 days of the 
receipt of the notification of charges. 

(c) The complaining party shall be provided with a copy 
of the accused party's answer and within 20 days from 
receipt thereof shall file a reply to the accused party's 
answer. 

(d) The charges as filed with the Board, the answer, and 
the reply msf shall be referred to the Committee on 
Investigations (hereinafter referred to as "Committee"). The 
Committee shall consist of twe three members of the Board, 
one of whom shall serve as chairman. 

(e) Whenever the Board anonymously receives documen- 
tation of an advertisement which, at face value, appears to 
contain a violation of the Boards 's Statute or Rules, the 
advertisement shall be referred to the Committee for 
Investigation. 

If) ^The Committee shall investigate the each complaint 
or advertisement referred to it by the Board and as part of 
the investigation may: 

(1) Assign the complaint to the Board's investigator 
who shall submit a written report to the Com- 
mittee. 

(2) Invite the complaining party and the accused 
party before the Committee to present their oral 
statements, but neither party shall be compelled 
to attend. 

(3) Conduct any other type of investigation as is 
deemed appropriate by the Committee. 

(g) (l)Upon the completion of the investigation, the 
Committee shall submit to the Board its findings and the 
Board shall determine whether or not there is probable cause 
to believe that the accused party has violated any standard 
of conduct which would justify a disciplinary hearing based 
upon the grounds as specified in G.S. 93D-13 or this 
Chapter. In th e e v e nt th e Committoo is unable to roaoh a 
unanimous decision on whether probable causo exists, the 
Proaidont of tho Board shall appoint one additional member 
to th e Committ ee for the purpose of rooolving the probabl e 
caus e decision. — TTii s additional m e mb e r io to s e p i ' e on th e 
Committee only for the duration of tho particular Lnvostiga 
tion for which such member is appointed. 



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(h) ^If probable cause is found, the Committoo or the 
Board'o attorney ohall o e p i ' e Board shall authorize a Notice 
of Hearing to be served on the licensee or registrant as 
required by law as stated in Article 3A of Chapter 150B of 
the North Carolina General Statutes. 

£1} ^If probable cause is found, but it is determined that 
a disciplinary hearing is not warranted, the Committ ee 
Board may issue a reprimand to the accused party. A 
statement of such reprimand shall be mailed to the accused 
party. Within 20 days after receipt of the reprimand, the 
accused party may refuse the reprimand and request that 
Notice of Hearing be issued pursuant to Chapter 150B of the 
North Carolina General Statutes or this Chapter. Such 
refusal and request shall be addressed to the Committee and 
filed with the Ex e cutiv e Secretary for the Board. The legal 
counsel for the Board shall thereafter prepare, file, and 
serve a Notice of Hearing as necessary . If the letter of 
reprimand is accepted, a record of the reprimand shall be 
maintained in the office of the Board. 

(i) {i)If no probable cause is found, the Committoo Board 
shall dismiss the charges and direct the Committee to 
prepare a statement of the reasons therefor which shall be 
mailed to the accused party and the complaining party, 

(k) 01f no probable cause is found, but it is determined 
by the Committoo Board that the conduct of the accused 
party is not in accord with accepted professional practice or 
may be the subject of discipline if continued or repeated, the 
Board may direct the Committee may to issue a letter of 
caution to the accused party stating that the conduct, while 
not the basis for a disciplinary hearing, is not professionally 
acceptable or may be the basis for a disciplinary hearing if 
repeated. A record of such letter of caution shall be 
maintained in the office of the Board. 

(1) (fc^Any committee member m e mb e r, including any 
board m e mb e r who was appoint e d — to th e Committoo 
pursuant to Paragraph (f) of this Rule, is deemed disquali- 
fied to participate further in the contested case in any 
di s oiplinar>' prooooding brought involving any person for 
whom the committee member participated in the investiga- 
tory process. 

Statutory Authority G.S. 93D-3; 150B-38. 

.0005 NOTICE OF HEARING 

(a) The Board shall give the party or parties in a con- 
tested case a notice of hearing not less than 30 days before 
the hearing. Said notice shall contain the following informa- 
tion, in addition to the items specified in G.S. 150B-38(b): 

(1) the name, position, address and telephone num- 
ber of a person at the offic e s office of the Board 
to contact for further information or disouooion; 
discussion: and 

(3) tho dato, — timo, and placo for a pro hoaring 

oonf e renoQ, if any; and 

(2) (^any other information deemed relevant to 
informing the parties as to the procedure of the 
hearing. 



(b) The Board shall give notice to all parties with a notice 
of hearing either fjersonaily or by certified mail or, if those 
methods are unavailable, in accordance with G.S. lA-1, 
Rule 4(jl). In the event that notice is accomplished by 
certified mail, the delivery date on the return receipt shall 
be the date of the service of notice. 

(c) If the Board determines that the public health, safety 
or welfare requires such action, it may issue an order 
summarily suspending a license or registration. Upon 
service of the order, the licensee or registrant to whom the 
order is directed shall immediately cease fitting and selling 
hearing aids in North Carolina. The Board shall promptly 
give notice of hearing pursuant to G.S. 150B-38 following 
service of the order. The suspension shall remain in effect 
pending issuance by the Board of a final agency decision 
pursuant to G.S. 150B-42. 

Statutory Authority G.S. 93D-3; 93D-13; 150B-3(c); 
150B-38. 

.0006 WHO SHALL HEAR CONTESTED 
CASES 

AH- For all contested case h e arings hearings, will b e 
conductod by tho full Board or by a panel conaioting of at 
loast a majority of tho mombors of tho Board. — Whon 
required by Chapter 150B of th e North Carolina Statuteo the 
Board shall apply to the Office of Administrative Hearings 
for the designation of an administrative law judge to hear 
the case pursuant to G.S. 150B-40(e). 

Statutory Authority G.S. 93D-3; 1503-38; 150B-40. 

.0009 INFORMAL PROCEDURES 

(a) The administrative law judge, as presiding officer 
acting for the Board. Board may direct the parties to 
conduct an informal pre-hearing conference, or the parties 
may request such a conference, at a time and place selected 
by the parties. If the parties do not agree on the time and 
place of the pre-hearing conference within a reasonable 
time, the Board may set the time and place of the 
pre-hearing conference, giving reasonable written notice to 
all parties in the proceedings. Th e Board may dosignato ono 
or mor e p e rooni) from among ito m e mboro, ito attom e yo, or 
its oxocutivo socrotary to conduct tho oonforonco. 

(b) At the discretion of the Board, all or part of the 
pre-hearing conference may be conducted by telephone or 
other electronic means, if each party has an opportunity to 
participate while the conference is taking place. 

(c) The parties shall conduct the pre-hearing conference 
to deal with, where applicable: 

(1) exploring settlement possibilities; 

(2) formulating, clarifying, and simplifying the 
issues to be contested at the hearing; 

(3) preparing stipulations of facts or findings; 

(4) ruling on the identity and number of witnesses; 

(5) determining the extent to which direct evidence, 
rebuttal evidence, or cross-examination will be 



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2059 



PROPOSED RULES 



presented in written form and the extent to 
which telephone, video tape, or other electronic 
means will be used as a substitute for proceed- 
ings in person; 

(6) determining what depositions, discovery orders, 
or subpoenas will be needed; 

(7) determining the need for consolidation of cases 
or joint hearing; 

(8) determining the order of presentation of evi- 
dence and cross-examination; and 

(9) considering any other matters which may pro- 
mote the prompt, orderly, and efficient disposi- 
tion of the case. 

Statutory Authority G.S. 93D-3; 150B-38. 

.0010 DISQUALinCATION OF BOARD 
MEMBERS 

(a) Self-disqualification. If for any reason a board 
member determines that personal bias or other factors 
render that member unable to conduct tho hearing and 
perform all duties in an impartial manner, that board 
member shall voluntarily decline to participate in the h e aring 
ef final decision. 

(b) Request for Disqualification. If for any reason any 
party in a contested case believes that a board member is 
personally biased or otherwise unable to conduct th e h e aring 
and perform all duties in an impartial manner, the party 
must make a written request that such board member be 
disqualified. The request must be accompanied by a sworn, 
notarized affidavit. The title of such affidavit must bear the 
notation: AFFIDAVIT OF DISQUAUHCATION OF 
BOARD MEMBER IN THE CASE OF (Name of Case). 

(c) Contents of Affidavit. Tlie affidavit must state all 
facts the party deems to be relevant to the disqualification of 
the board member. 

(d) Timeliness of Affidavit. An affidavit of disqualifica- 
tion will be considered timely if filed ten calendar days 
before commencement of the hearing. Any other affidavit 
will be considered timely provided it is filed at the first 
opportunity after the party becomes aware of facts which 
give rise to a reasonable belief that a Board member may be 
disqualified under this Rule. 

(e) Procedure for Determining Disqualification: 

(1) The Board will appoint a board member to 
investigate the allegations of the affidavit. 

(2) The investigator will report to the Board the 
findings of the investigation. 

(3) The Board shall decide whether to disqualify the 
challenged individual. 

(4) The person whose disqualification is to be 
determined will not participate in the decision 
but may be called upon to furnish information to 
the other members of the Board. 

(5) A record of proceedings and the reasons for any 
decision reached will be maintained as part of 
the contested case record. 



(6) When Q board mombor io dioqualifiod prior to 

th e oomm e ncem e nt of th e h e aring or after tho 
h e aring has b e gun, ouch h e aring will oontinuo 
V i 'ith tho remaining mombors sitting provided that 
tho romaining m e mbers still constitute a majority 
of th e Board. 

f?3 If disquahfioation of a board m e mb e r leaves logo 

than a majority' of tho Board, tho Board shall 
petition the Office of Administrativo Hearings to 
appoint an administrativ e law judg e to hoar tho 
oont e st e d cas e pursuant to G.S. 150B 10(0). 

(6) f8)Where a petition for disqualification is filed 
less than 10 days before or during the course of 
a hearing, the hearing shall continue, oontinuo 
with — the — chall e ng e d — board — m e mb e r — sitting. 
Petitioner shall have the opportunity to present 
evidence supporting his petition, and the petition 
and any evidence relative thereto presented at 
the hearing shall be made a part of the record. 
The Board, before rendering its decision, shall 
decide whether the evidence justifies disqualifi- 
cation. In the event of disqualification, the 
disqualified member will not participate in 
further deliberation or decision of tho case the 
final decision . 

Statutory Authority G.S. 93D-3; 150B-38; 150B-40. 

.0011 FAILURE TO APPEAR 

(a) Continuances and adjournments will be granted b^ the 
administrative law judge only upon a showing of good cause 
and upon the receipt of a timely-made request. 

(b) Should a party fail to appear at a hearing or fail to 
appear following the granting of a continuance or adjourn- 
ment, the hearing will be conducted in the party's absence. 

(c) If a hearing is conducted and a decision is reached in 
an administrative hearing in the absence of a party, that 
party may file a written petition with the Board for a 
reopening of the case. 

(d) Petitions for reopening a case will not be granted 
except when the petitioner can show that the reasons for his 
failure to appear were justifiable and unavoidable and that 
fairness requires reopening the case. Such petitions, 
however, will have no effect on the running of the 30-day 
period for seeking judicial review, which starts from the day 
the party is served with the final decision. 

Statutory Authority G.S. 150B-38; 150B-40. 

.0013 SUBPOENAS 

(a) Requests for subpoenas for the attendance and 
testimony of witnesses or for the production of documents, 
either at a hearing or for the purposes of discovery, shall be 
made in writing to the Board, shall identify any document 
sought with specificity, and shall include the full name and 
home or business address of all persons to be subpoenaed 
and, if known, the date, time, and place for responding to 



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PROPOSED RULES 



the subpoena. The administrative law judge, as presiding 
officer acting for the Board. Board shall issue the requested 
subpoenas within five days of receipt of the request. 

(b) Subpoenas shall contain: the caption of the case; the 
name and address of the person subpoenaed; the date, hour 
and location of the hearing in which the witness is com- 
manded to appear; a particularized description of the books, 
papers, records or objects the witness is directed to bring 
with him to the hearing, if any; the identity of the party on 
whose application the subpoena was issued; the date of 
issue; the signature of ono of th e m e mb e rs of tho Board or 
tho Board'a oxocutivo socrotar)' the presiding officer ; and a 
"return of service". The "return of service" form, as filled 
out, shows the name and capacity of the person serving the 
subpoena the date on which service was made, the person 
on whom service was made, the manner in which service 
was made, and the signature of the person making service. 

(c) Subpoenas shall be served by the sheriff of the county 
in which the person subpoenaed resides, when the party 
requesting such subpoena prepays the sheriffs service fee. 
The subpoena shall be issued in duplicate, with a "return of 
service" form attached to each copy. A person serving the 
subpoena shall fill out the "return of service" form for each 
copy and properly return one copy of the subpoena, with the 
attached "return of service" form completed, to the Board^ 

(d) Any person receiving a subpoena from the Board may 
object thereto by filing a written objection to the subpoena 
with the Board's office. 

(e) Such objection shall include a concise, but complete, 
statement of reasons why the subpoena should be revoked or 
modified. These reasons may include lack of relevancy of 
the evidence sought, or any other reason sufficient in law 
for holding the subpoena invalid, such as that the evidence 
is privileged, that appearance or production would be so 
disruptive as to be unreasonable in light of the significance 
of the evidence sought, or other undue hardship. 

(0 Any such objection to a subpoena must be served on 
the party who requested the subpoena simultaneously with 
the filing of the objection with the Board. 

(g) The party who requested the subpoena, in such time 
as may be granted by the Board, may file a written response 
to the objection. The written response shall be served by 
the requesting party on the objecting witness simultaneously 
with filing the response with the Board. 

(h) After receipt of the objection and response thereto, if 
any, the Board administrative law judge shall issue a notice 
to the party who requested the subpoena and the party 
challenging the subpoena, and may notify any other party or 
parties of an open hearing, to be scheduled as soon as 
practicable, at which time evidence and testimony may be 
presented, limited to the narrow questions raised by the 
objection and response. 

(i) Promptly after the close of such hearing, the majority 
of th e board momboro administrative law judge hearing the 
contested case will rule on the challenge and issue a written 
decision. A copy of the decision will be issued to all parties 
and made a part of the record. 



Statutory Authority G.S. 93D-3; 150B-38; 150B-39. 

.0014 FINAL DECISION 

In all 00303 hoard by tho Board, the Board will isauo its 
decision within 60 days aftor ita noxt regularly aohodulod 
m ee ting following th e oloo e of th e h e aring. — Thio d e oioion 
will b e th e pr e r e quisit e "final ag e ncy dooision" for tho right 
to judicial roviow. 

Statutory Authority G.S. 93D-3; 1508-38; 150B-39. 

.0015 PROPOSALS FOR DECISIONS 
AND FINAL DECISION 

(a) When an administrative law judge conducts the 
hearing, a h e aring pursuant to G.S. 150B 10(0), a "proposal 
for decision" shall be rendered within 45 days after the 
hearing pursuant to the Rules of the Office of Administra- 
tive Hearings. The parties may file written exceptions to 
this "proposal for decision" and submit their own proposed 
findings of fact and conclusions of law. The exceptions and 
alternative proposals must be filed within 10 days after the 
party has received the "proposal for decision" as drafted by 
the administrative law judge. 

(b) Any exceptions to the procedure during the hearing, 
the handling of the hearing by the administrative law judge, 
rulings on evidence, or any other matter must be written and 
refer specifically to pages of the record or otherwise 
precisely identify the occurrence to which exception is 
taken. The exceptions must be filed with the Board within 
10 days of the receipt of the proposal for decision. The 
written exceptions must bear the notation: EXCEPTIONS 
TO THE PROCEEDINGS IN THE CASE OF (Name of 
Case). 

(c) Any party may present oral argument to the Board 
ujxsn request. The request must be included with the written 
exceptions. 

(d) Upon receipt of request for further oral argument, 
notice will be issued promptly to all parties designating the 
time and place for such oral argument. 

(e) Giving due consideration to the proposal for decision 
and the exceptions and arguments of the parties, the Board 
may adopt the proposal for decision or may modify it as the 
Board deems necessary. The decision rendered will be part 
of the record and a copy thereof given to all parties. The 
decision as adopted or modified becomes the "final agency 
decision" for the right to judicial review. Said decision will 
be rendered by the Board within 60 days after the next 
regularly scheduled meeting following the oral arguments, 
if any. If there are no oral arguments presented, the 
decision will be rendered within 60 days after the next 
regularly scheduled Board meeting following receipt of the 
written exceptions. 

Statutory Authority G.S. 93D-3; 1503-38: 150B-40. 



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PROPOSED RULES 



CHAPTER 31 - MARITAL AND FAMILY 
THERAPY CERTIFICATION BOARD 

Notice is hereby given in accordance with G.S. 
150B-21.2 that the North Carolina Marriage and 
Family Therapy Licensure Board intends to amend rules 
cited as 21 NCAC 31 .0102, .0104, .0201 - .0203, .0301 - 
.0303, .0401. .0501 - .0505: repeal 21 NCAC 31 .0402, 
.0601 - .0608: and adopt 21 NCAC 31 .0304, .0403 - 
.0404. .0506. .0609, .0701. .0801. .0901. 

Proposed Effective Date: March 1 . 1996. 

A Public Hearing will be conducted at 11:00 a.m. on 
Januarx 12. 1996 at the F. Roger Page Business & Technol- 
ogy Center, 1001 S. Marshall Street. Suite #5, Winston- 
Salem. NC 27101. 

Reason for Proposed Action: Adopt. Amend. Repeal rules 
pursuant to Article 18C, Chapter 90 (90-270.45 through 90- 
270.62) of the North Carolina General Statutes. 

Comment Procedures: Comments may be submitted in 
writing and addressed to: Edward Markowski, Ph.D., 
Chair, N. C. Marriage and Family Therapy Licensure Board, 
1001 S. Marshall Street, Suite §5, Winston-Salem. NC 
27101. Comments will be received until the public hearing 
date. 

Fiscal Note: These Rules do not affect the expenditures or 
revenues of state or local government funds. 

SECTION .0100 - GENERAL PROVISIONS 

.0102 ADDRESS 

The mailing address is 1001 South Marshall Street, Suite 
#5, Section on Marital and Family Therapy, Bowman Gray 
School of Modioine, Winston-Salem, North Carolina 27103 
27101-5893. 



Statutory Authority 
270.51(b). 



G.S. 90-270.45; 90-270.49; 90- 



.0104 FEES 

(a) In addition to the fees specified in Article 18C, 
Chapter 90 of the North Carolina General Statutes, an 
examination charge assessed by the Professional Examina- 
tion Service will be collected from each applicant prior to 
sitting for the examination , the following ohargos will bo 
oaacaaod for the indicated publications. 

f}-) two dollorfl and fifb i ' o ^ nts ($2-50) — copy of th e 

annual dir e ctors' of o e rtili e d marital and family 

thcrapiatj; 
^3-) eight dollora ($8 GO) — a oopy of the study manual 

for th e North Carolina marital and family th e rapy 

o e rtilioQtion e Kommation. 

(b) An applicant for the Marriage and Family Therapy 



Associate designation provided under Rule 0507 will pa\- the 
license application fee at the time of initial application. Such 
person will not he subiect to another application fee when 
documentation of havmg fulfilled the requirements to sit for 
the licensing exammation is submitted . 

Statutory. Authority G.S. 12-3. 1(c): 90-270. 51(h). 

SECTION .0200 - APPLICATION FOR 
LICENSESIG 

.0201 CREDENTM.LS REQUIRED 

The credentials required for each applicant consist of 

( 1 ) notarized application form and application fee; 

(2) official graduate college transcripts sent directly to 
the Board by the training mstitution(s), 

(3) written evidence, transcnpt, or other document(s) 
evidencing satisfacton" completion of a course of 
study in marital mamape and famil\' therap\' from 
an appropnate non-degree grantmg agency, mstitu- 
tion, or program when applicable, 

(4-) three endorser atatcmcnts from present or past 

employers or supervisors who can tcstiP . - to the 
applicant's e xp e n e nce — Privat e practic e mdividuals 
may includ e r e sponsibl e m e mb e rs of th e community 
who can provide ventioation of the applicant's 
praotioc Appro\ed Supervisors Reports \enfvmg 
clinical expenence and supervision , and 
(5) Evidence of good moral character, which must 
include three endorsements for licensure from 
professionals m the communir\ 
An application will automatically be placed in an mactive file 
if all necessan' matenals are not received w ithm one year from 
the date of the application. 



Statutory' Authoriti' 
270.54(1) (2). 



G.S 90-270.51(b); 90-270.52: 90- 



.0202 REVIEW PROCEDURE 

(a) Copies of all materials pertaming to an applicant are 
mailed to each Board member pnor to the scheduled meetmg 
dunng which the application will be reviewed. Applications 
shall be re\iewed by the Board at scheduled meetmgs special 
meetmgs called for such purpose by the Board Chair . 

(b) If the credentials and application are appro\'ed, the 
applicant »-se shall be so informed and is then gi\en informa- 
tion regarding the exammation. 

(c) Lf the credentials or application are deemed unacceptable 
by the Board, the applicant « shall so be informed and is given 
as with an explanation of the areas which are considered 
deficient. Applicants may remedy deficiencies within one year 
from the date of notification of such w ithout having to reapply. 

(d) If dunng the review process, questions anse from 
comm e nts mad e by e ndors e rs or oth e r sourc e s any source 
which may pertam to the applicant's qualifications for o e rtifi 
cation licensing , the Board may seek to resohe the questions 
by commumcation with the person who made the comments or 
an\' other appropriate person(s), or may refer the matter to 
counsel or to a member or employee of the Board for investi- 



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PROPOSED RULES 



qu e stic 
areas: 






m 



(c) The passing score on the examination is determined by 
the testing agency and the Board. 

Statutory Authority G.S. 90-270.51(b); 90-270.55(a)(b)(c). 

.0302 REPORTING OF SCORES 

Each applicant for certifioation io inform e d in writing of 
his score on tho marital and family therapy cortification 
examination. — Those who have not passed tho examination 
ar e inform e d of th e policy r e garding re e xamination. 

The Board shall inform the applicant of their examination 
score. A passing score qualifies the a pplicant for licensure . 
Those who have not passed the examination are referred to 
Rule .0303 of this Section. 

Statutory Authority G.S. 90-20.5 1(b). 

.0303 FIRST REEXAMINATION 

An applicant who has not pass e d failed the written 
examination shall not be admitted to a subsequent examina- 
tion for a period of at least six months. The applicant witt 
shall not submit a new application form, but must shall 
update any information in the application that is no longer 
accurate and pay another examination fee . 

Statutory Authority G.S. 90-270.51(b); 90-270.55(e). 

.0304 SUBSEQUENT REEXAMINATIONS 

An applicant who has failed any reexamination shall not be 
admitted to a subsequent examination for a period of at least 
six months. The applicant will also be required to submit 
an application fee with a new application form which will 
show evidence of an additional three semester hours of 
credit in marriage and family therapy course work and 50 
additional hours of approved supervision. Upwn approval by 
the board the applicant will be admitted to sit for the exam 
upon payment of the examination fee. 

Statutory Authority G.S. 90-270. 5 1(b); 90-270.55(e). 

SECTION .0400 - RENEWAL 

.0401 LICENSURE RENEWAL FORM 

The form for renewal is headed CcrtiFication Renewal 
marital and family therapy — opeoifio approaoh e s; From with the year of the renewal and tho amount of the 

f ee . Th e form asks for curr e nt hom e and busin e ss addr e ss e s 



gation. 

(e) If oortifioation an application is denied, an explanation 
of tho grounds on which the denial was made is given the 
grounds for denial shall be given to the applicant . Tbe 
applicant may at this time pres e nt additional written e vi 
deno e in s upport of th e applioation to b e consid e r e d by th e 
Board. The applicant may request reconsideration of the 
a pplication and present additional written material in support 
thereof . The Board shall not be required to reconsider its 
decision to deny an application, nor shall it be required to 
review any materials submitted in support of a request for 
reconsideration . 

Statutory Authority G.S. 90-270. 51(b). 

.0203 ISSUANCE OF LICENSE 

An applicant who has m e t ail of th e requir e m e nts for 
o e rtifioation io issued a o e rtiFioat e . An applicant shall be 
granted a license when all requirements for licensing are 
met . TTiia cortifioato displays the applicant's name, o e rtifi 
cation date, o e rtifioation numb e r, the signatures of th e ohair 
person and v i c e chairp e rson, and th e official se al of th e 
Board. The license shall display the applicant's name, 
licensing date, license number, the signatures of at least the 
chairperson and vice-chairperson, and the official seal of the 
Board. 

Statutory Authority G.S. 90-270.5 l(b)(d): 90-270.54. 

SECTION .0300 - EXAMINATION 

.0301 WRITTEN EXAMINATION 

The — Board — e mp l oys an — e xamination — which — inc l ud e s 
lions to t e st an applicant s knowl e dg e in th e followin 



« 



TTie North Carolina Marital and Family Therapy 

C e rtification Act; 

(5) l e gal asp e ct s of marriag e , family and d i vorc e : 

(^ profos fl ional ethics in marital and family therapy, 

(4) general family studios: 



(4) ind i vidual developm e nt and p e rsonal i ty: 

psychopathology: 



individual psychotherapy: 

marital and family therapy — general ; 



f+0^ s e x and s e x th e rapy; 

fl-H marriage and family skill training and enrichment; and te le phon e numb e rs. This form i s mail e d in th e spring 



f4^ 



genera l r e s e arch issu e s. 



The e xamination is given b i annually on s e l e ct e d dat e s in th e 
spring and fall. — A passing score will consi s t of correct 
responses on at least 70 percent of tho questions. 

(a) The Board shall employ a standardized national 
examination in Marriage and Family Therapy as approved 
by the Association of Marriage and Family Therapy Regula- 
tory Boards (AMFTRB). 

(b) The examination shall be given biannually. 



with renewal being on or before July I . 

(a) The Licensure Renewal Form shall include year of 
renewal, fee, the licensee's current home and business 
address and telephone numbers . 

(b) Licenses not renewed by July J^ are expired . 

(c) Copies of continuing education certificates shall be 
attached to the renewal form . 

Statutory' Authority G.S. 90-270.51(b); 90-270.58: 150B- 

11(1). 



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2063 



PROPOSED RULES 



.0402 SECONfD NOTICE 

Aftor th e ren e wal data has paooed. a o e cond notioo io oont 
to each delinqu e nt individual. — Th e Board may revoke 
cortificatos for individuals from whom ronowal foes have not 
boon rocoivcxl prior to July 1 . 

Statutory Authority G.S. 90-270.5 1(h): 90-270.58: 150B- 
3(h). 

.0403 REINSTATEMENT AFTER EXPIRATION 

(a) A license which expired for non payment of renewal 
fees or failure to comply with continuing education require- 
ments will be reinstated, if within two years of expiration, 
the reinstatement fee is paid and satisfactory evidence of 
completing continuing education requirements is submitted.. 
TTie continuing education requirements documented at the 
time of reinstatement must equal the hours required had the 
license not expired. 

(h) A license which has expired for a period of more than 
two years will not be reinstated. A new license may be 
granted pursuant to paying the applicable fees and meeting 
the licensing requirements under Sections .0200 and .0300 
of this Chapter. 

Statutory Authority G.S. 90-270. 5 1(h): 90-270. 58A. 

.0404 RETURN FROM INACTIVE STATUS 

The Board will consider requests for a return to active 
status on an individual basis. 

Statutory Authority G.S. 90-270.5 1(h): 90-270.58B. 

SECTION .0500 - DEFINITIONS 

.0501 APPROPRIATE COURSE OF STUDY 

The phrase "appropriate course of study" for an applicant 
with a degree in an allied mental health field in G.S. 90- 
270. 54( 1 )a is d e fin e d as on e that inolud e o is a graduate 
degree that includes specific content in general family 
studies, marital marriage and family therapy, individual 
studie i s including personality theory , and psychopathology, 
and a clinical practicum in marita l marriage and family 
therapy 

Statutory Authority G.S. 90-270.51(h): 90-270.47(1 )a-d: 90- 
270.54(l)a. 

.0502 APPROVED SUPERVISION 

(a) "Supervision approved by the Board" mctms supcrvi 
s ion by a p e rson who: "Approved Supervision" means 
supervision by a person who holds the designation "Ap- 
proved Supervisor" or "Approved Supervisor in Training" 
according to standards established by the American Associa- 
tion for Marriage and Family Therapy (AAMFT). 

f+4 moots th e e ducational and e xp e ri e nc e r e quir e 

monts for certification, has at least two addi 
tional years of oxpcrienoe in marital and family 



therapy for a total of four years of clinical 
e xp e ri e nc e in marital and family therapy, and 
provid e s e vid e nc e of training in marital and 
family therapy sup>or . 'ision by one of the follow 

iftgr 

fA) — acad e mic couroowork; 

(B) — continuing e ducation in marital and family 

therapy supervision: 
(€) — designation by a national professional organi 

zation as a marital and family therapy oup e rvi 

(5^ docs not meet the educational and experience 

requirements for certification but as determined 

by th e Board, has mad e oignifioant contributions 

to th e fi e ld of marital and family th e rapy and 

has substantial oxijorionce — in supervising the 

clinical practice of marital and family therapy. 

(b) The applicant is r e quir e d to hav e accumulat e d 1,500 

hours of direct sup e rvi se d clinical e xp e ri e nc e in marital and 

family therapy. — The applicant must obtain 200 hours of 

supervision approved by the Board over the course of tho 

1,500 hours of clinical e xp e ri e nc e . 

(b) Applicants must demonstrate 200 hours of approved 
supervision during the 1,500 hours of clinical experience 
required by G.S. 90-270.54(1 )b. 

(c) Graduates of accredited marriage and family therapy 
programs shall complete a minimum of 25 hours of ap- 
proved supervision following graduation. 

Statutory Authority G.S. 90-270.5 1 (b): 90-270.54(l)b. 

.0503 EQUIVALENCY 

An appropriate course of study for an "equivalent" degree 
under G.S. 90-270.47(1 )e is defined by the Board to 
ordinarily consist of a 45-semester hour graduate program. 
Twenty-seven semester hours consist of the following 
content and clinical training: 

(1) General Family Studies (six semester hours). This 
category is viewed by the Board as being a broad 
and inclusive one which may include courses in 
marriage, family relations, child development, 
family sociology, or other such related topics in 
which the marital marriage and family content is 
clearly evident. 

(2) Marital Marriage and Family Therapy Theory (six 
semester hours). This category should include 
specific and extensive content in systems theory as 
well as other theoretical approaches to marital 
marriage and family therapy. In addition, the 
Board would consider course work in this category 
which exceeds six semester hours to be applicable 
toward meeting the requirements for category Item 
(1) of this Rule. 

(3) Individual Studies (six semester hours). Included 
in this category are theories of personality, psy- 
chopathology or abnormal behavior, and human 
sexuality. However, theories of personality and 



2064 



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PROPOSED RULES 



psychopathology are seen as essential content. 
(4) Clinical Practicum in Marital Marriage and Family 

Therapy (nine semester hours or 20 hours per 

week for 12 months). 
The remaining 18 semester hours consist of core course 
work appropriate to the disciplinary specialty in which the 
degree is granted. 



Statutory Authority G.S. 90-270. 51 (bj; 
90-270.54(1 )a. 



90-270. 47(1 )e; 



.0504 ALTERNATIVE TO CLINICAL 
PRACTICUM 

In lieu of the clinical practicum requirements under 
Rule. 0501 or Rule .0503 of this Section, the Board wHi 
shall accept evidence of a supervised clinical practicum 
obtained subsequent to the granting of a degree in an 
otherwise appropriate course of study providing provid e d the 
supervision meets the requirements of "approved supervi- 
sion" under Rule .0502 of this Section. 

Statutory Authority G.S. 90-270.5 1(b). 

.0505 NON-DEGREE GRANTING POST 

GRADUATE TRAINING PROGRAMS 

(a) In assessing the applicant's fulfillment of the educa- 
tional requirements for o e rtification licensure , the Board wiW 
shall accept evidence of the applicant's completion of 
postgraduate training In marital marriage and family therapy 
firom non-degree granting institutions or programs providing 
that: 

(1) The program has a specified curriculum in 
marital marriage and family therapy; 

(2) The program is ongoing and additive, i.e., 
offered at the same place over a specific period 
of time and is available on an ongoing basis; 

(3) TTie program is attached to an identifiable insti- 
tution, training facility or agency; and 

(4) Documentation is availabl e to th e Board from 
maintained by the institution, training facility, or 
agency regarding a person's satisfactory involve- 
ment in and completion of the program. Such 
documentation must include approved clinical 
supervision and performance evaluation. 

(b) Brief Workshops, seminars and general continuing 
education events do not qualify as postgraduate training 
under this Rule and will not be considered. 

Statutory Authority G.S. 90-270.51(b); 90-270.54(1 )a. 

.0506 SUPERVISED CLINICAL EXPERIENCE 

(a') "Supervised Clinical Experience" means hours of 
actual face-to-face marriage and family therapy contact with 
individuals, couples, and families. 

(b) Group therapy with the exception of couple and 
family groups, case staffing, community and other collateral 
contact, agency meetings, and paperwork do not meet the 



requirements for supervised clinical experience and cannot 
be counted toward the 1500 hours of clinical experience 
required for licensure. 

Statutory Authority G.S. 90-270.5 1(b); 90-270.54(l)b. 

SECTION .0600 - CODE OF 
ETHICAL PRINCIPLES 

.0601 RESPONSIBILITY TO CLIENTS 

North Carolina C e rtifi e d Marital and Family Th e rapioto 
aro dedicat e d to advancing tho wolfaro of familios and 
individuals, including respecting the rights of those persons 
s ee king th e ir asoistano e . and making rea s onabl e e fforts to 
e nsur e that th e ir B e rvio e o ar e us e d appropriat e ly. 

f4^ North — Carolina — Certified — Marital — arid — Family 

Therapists do not discriminate against or refuse 
prof e ssional s e r . 'io e to anyon e on th e basis of 
rac e , s e x, r e ligion, or national origin. 

(3-) North — Carolina — Certified — Marital — and — Family 

Therapists do not use their professional relation 
ship to furth e r p e rsonal, r e ligious, political, or 
business int e r e sts. — S e xual intimacy with cli e nt is 
unethical. 

(5^ North Carolina — Certified — Marital — and Family 

Th e mpists continu e a th e rap e utic r e lationship only 
so long as it io r e asonably cl e ar that cli e nts ar e 
benefitting from the rclationship. 

{A) North Carolina — Certifi e d — Marital — and — Family 

Th e rapists — mak e — financial — arrang e m e nts — with 
oli e nto that ar e consist e nt with normal and ao 
oepted professional practice and that arc under 
sttmdable to clients. 

f5^ North Carolina — C e rtifi e d — Marital and Family 

Th e rapists r e sp e ot th e rights of oli e nto to mak e 
decisions consistent — with their age and other 
relevant conditions, while retaining responsibility 
for assessing th e situation according to sound 
prof e ssional judgm e nt with th e cli e nts. — North 
Carolina Certified Marital and Family Therapists 
clearly advise a client that a decision on marital 
status is th e r e sponsibility of the client. 

(4) North Carolina — C e rtifi e d — Marital and Family 

Therapists are sensitive to and re s pectful of the 
rights of tho other members of tho client's family. 

Statutory Authority G.S. 90-270.5 1(b); 90-270.60(5). 

.0602 COMPETENCE 

North Carolina C e rtifi e d Marital and Family TTi e rapisto 
are d e dicat e d to maintaining high standards of competence, 
recognizing appropriate limitations to their competence and 
services and using consultation from other professionals. 

f4^ North Carolina — C e rtifi e d — Marital and Family 

Th e rapists s ee k appropriate professional assistxmco 
for personal problems or conflicts that are likely 
to impair their work p>crformance. 



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2065 



PROPOSED RULES 



(S) North Carolina — Cortifi e d — Marital — and Family 

Thompiotfl, an t e achers, are d e dicat e d to maintain - 
ing high otxindards of ocholarohip and pr e s e nting 
informat tefl — that — i s scholarly. — up to date. — and 
accurate. 



Statutory Authority G.S. 90-270. 5 1(b); 90-270.60(5). 

.0604 CONFIDENTIALITY 

North Carolina Certified Marital and Family Therapists 
rospoct both the law and the rights of clients and safeguard 



^ North — Carolina — C e rtifi e d — Marital — aftd — Family cli e nt oonfid e no e o as permitt e d by law. 



Th e rapists do not att e mpt to diagno s e, tr e at, or 
advise on problems outaide the recognized bound 
orios of their compotenoo. 

Statutory Authority G.S. 90-270.5 1(b); 90-270.60(5). 

.0603 INTEGRITY 

North Carolina C e rtifi e d Marital and Family Th e rapists 
are hon e st — in d e aling with cli e nts. — stud e nts. — trainees. 
colloaguos. and the public, seeking to eliminate inoompe 
lonce or dishonesty from the work or representations of 
marital and family th e rapietB. 

<-H North Carolina — C - ertifi e d — Marital — and Family 

Therapists do not claim, either directly or by 
implicationo. professional qualifications exceeding 
those actually attain e d. 



m- 



(^ 



{^ 



f+^ North Carolina C e rtifi e d — Marital and Family 

Therapists use clinical — materials in teaching — 7 
writing, — and — public — presentations — ©ftiy — when 
permission has boon obtain e d or when appropriat e 
st e ps hav e b ee n tak e n to prot e ct cli e nt id e ntity^ 

(3^ North Carolina — Certified — Marital — and Fana ly 

Therapists store or dispose of client records in 
ways that e nhanc e saf e ty and confid e ntiality. 

(33 North Carolina — C e rtifi e d — Mantal — and — Family 

Therapists communicate information about clients 
to others only after obtaining appropriate client 
consent unl e ss th e r e is a cl e ar and imm e diat e 
dang e r to an individual or to soci e ty, and then 
only to the concerned individual and appropriate 
family members, professional workers, or public 
authorities- 



North Carolina — C e rtifi e d — Marital — and Family 



Statutory Authority G.S. 90-270.51 (b); 90-270.60(5). 

.0605 PROFESSIONAL RESPONSIBILITY 

North Carolina C e rtifi e d Marital and Family TTierapists 
rospoct — tfee — rights — aftd — responsibilities — of professional 
information and representations made by others colleagues and. as employees of organizations. — remain 
conc e rning — th e marital — and family therapist's 
qualifications, services, or products ( e .g.. books, 
te s ting materials). 



Thompists do not use false or misleading advertis 

iftgr 

(3^ North Carolina — C e rtifi e d — Marital — and Family 

Th e rapists acc e pt — th e r e sponsibility to corr e ct 
wherovor — possible — misleading — and — inaccurate 



(4-) North Carolina — Certified — Marital — and Family 

Th e rapists hav e the obligation to moke certain that 
th e qualifications of persons in th e ir e mploy ar e 
appropriate to the sorvicos provided and aro 
appropriately represented. 
North Carolina — C e rtifi e d 



Marital and Family 
Th e rapists n e ith e r off e r nor acc e pt paym e nt for 
referrals. 
North — Carolina — Certified — Marital — and — Family 



TTi e rapists acc e pt th e r e sponsibility for making 
informed correctiv e e fforts with oth e r marital and 
family thompists who are violating ethical princi 
pies or for bringing the violations to the attention 
of th e North Carolina Marital and Family Th e rapy 
C e rtification Board. 

f?-) North Carolina — Certified — Marital — and Family 

Therapists do not ongago in sexual harassment in 
th e ir working r e lationships with clients, stud e nts, 
train ee s, or coll e agu e s. 

{^ North Carolina Certified — Marital — and Family 



accountabl e as individtial s to th e e thical principl e s of th e ir 
prof e ssion. 

f4^ North Carolina — Cortified — Marital and — Family 

Therapists assign publication credit to those who 
have contributed to a publication in proportion to 
th e ir contribution and in accordanc e with custom 
ar)' professional publication practices. 

(^) North Carolina — Certified — Marital — and Family 

Th e rapists who ar e the authors of books or oth e r 
mat e rials that ar e publish e d or distribut e d cit e 
appropriately persons to whom credit for original 
ideas is duo. 

f3^ North — Carolina — C e rtifi e d — Marital — afid — Family 

Th e rapists who ar e the authors of books or oth e r 
materials published or distributed by an organiza 
tion tal(e reasonable precautions to ensure that the 
organization promotes and adv e rtis e s th e mat e rials 
accurat e ly and factually. 

Statutory Authority G.S. 90-270.5 1(b); 90-270.60(5). 

.0606 PROFESSIONAL DEVELOPMENT 

North Carolina Cortified Marital and Family TTierapists 



Therapists do not use their relationships with seek to continue their professional development and strive 
students or train ee s to furth e r their own p e rsonal. to mok e p e rtin e nt knowl e dg e availabl e to cli e nts, stud e nts, 
r e ligious, political, or busin e ss interests. — S e xual 
intimacy with students or trainees is unethical. 



train ee s, coll e agues and th e public. 

{i^ North Carolina — Certified Marital — and Fam Hy 

Therapists sock to rorrmin abreast of new develop 



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PROPOSED RULES 



monts in marital and famil)' thorapy knowlodgo 
and praotio e — through both formal s duoational 
aotivitieo and informal learning e xp e ri e no e s. 

(3) North Carolina Cortifiod — Marital and Family 

Tliorapists who suporv'iso or employ students, 
trainooo. family thorapists, or oth e r profosoional 
aoDumo a reasonabl e obligation to e ncourag e and 
enhance the professional development of those 
persons. 

(3) North Carolina C e rtifi e d — Marital and Family 

ThorapistB who provid e oup e rvioion aooume r e 
sponsibility — for defining — the — relationships — as 
"supervisor suporvisco" and for clearly defining 
and separating oupers'isor)' and th e rap e utic rol e o 
and relationships. 

Statutory Authority G.S. 90-270. 5 1(b); 90-270.60(5). 

.0607 RESEARCH RESPONSIBILITY 

North Carolina Certified Marital and Family Therapists 
recognize that, while research is essential to the advance 
m e nt of knowl e dg e , all inv e stigations must b e conduct e d 
with full respect for th e rights and dignity of participants 
and with full concern for their welfare. 

f}^ North Carolina Certified — Marital — and Family 

Thompioto, as r e s e arch e rs, striv e to be adequat e ly 
inform e d of r e levant laws and oth e r r e gulations 
regarding the conduct of research with human 
participantfl and to abide by those laws and regula 
tions. 

(3) North Carolina C e rtifi e d — Marital and Family 

Therapists, as researchers, assume resjxinsibility 
for ensuring that their research is conducted in an 
ethical manner. 

Statutory Authority G.S. 90-20.51(b); 90-270.60(5). 

,0608 SOCIAL RESPONSIBILITY 

North Carolina C e rtifi e d Marital and Family Th e rapists 
acknowledge a responsibility to participate in activities that 
contribute to a better community and society, including 
d e voting a portion of th e ir prof e ssional activity to s e rvic e s 
for which th e r e is little or no financial r e turn. 



«- 



North Carolina Certified — Marital — and Family 
Therapists are concerned with developing laws and 
legal regulations p e rtaining to marital and family 
th e rapy that s e rv e th e public int e r e st and with 
altering such laws and regulations that are not in 
the public interest. 

North Carolina C e rtifi e d — Marital — and Family 
Th e rapists affirm that profeooional servic e s involv e 
both practitioner and client and seek to encourage 
public participation in the designing and deliver)' 
of oor>'io e s and in th e r e gulation of practition e rs. 



Statutory Authority G.S. 90-270. 5 1(b); 90-270.60(5). 



m- 



.0609 ETHICAL PRINCIPLES 

(a) The board adopts the code of ethical principles of the 
American Association for Marriage and Family Therapy 
(AAMFD published as the AAMFT CODE OF ETHICAL 
PRINCIPLES FOR MARRIAGE AND FAMILY THERA- 
PISTS of August 1991. or its successor publication. 

fb) Each applicant, associate, or licensee is responsible 
for being familiar with and following this code of ethics. 

(c) A copy of this code of ethics may be obtained by 
writing the American Association for Marriage and Family 
Therapy, 1717 K Street, N.W., Suite 407. Washington, 
D.C. 20006. 

Statutory Authority G.S. 90-270.51(b); 90-270.60(5). 

SECTION .0700 - CONTINUING EDUCATION 

.0701 REQUIREMENTS FOR CONTINUING 
EDUCATION 

(a) Ucensed Marriage and Family Therapists shall submit 
each year with the license renewal forms evidence of 12 
hours of continuing education credits in marriage and family 
therapy continuing education obtained subsequent to the 
prior Ucense renewal. Evidence of completion shall consist 
of a certificate of attendance and completion signed by the 
responsible officer of a continuing education provider. 

(h) The board does not preapprove continuing education 
programs. 

(c) Only continuing education units that by title and 
content clearly deal with marriage and family therapeutic 
issues will be accepted by the board. 

(d) Continuing Education credit will not be accepted for 
the following: 

(1) Regular work activities, administrative staff 
meetings, case staffing/reporting, etc.; 

(2) Membership in, holding office in, or participa- 
tion on boards or cominittees, business meetings 
of professional organizations, or banquet 
speeches: 

(3) Independent unstructured or self-structured 
learning! 

£41 Training specifically related to policies and 

procedures of an agency; 
(5) Non-therapy content programs such as finance or 

business management. 

(e) If a person submits documentation for continuing 
education that is not clearly identifiable as dealing with 
marriage and family therapy, the board shall request a 
written description of the continuing education and how it 
applies to professional practice in marriage and family 
therapy. If the board determines that the training cannot be 
considered appropriate, the individual will be given 90 days 
to replace the hours not allowed. Those hours will be 
considered replacement hours and cannot be counted during 
the next renewal period. 

(f) When evidence of satisfactory completion of marriage 
and family continuing education is not presented to the 



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PROPOSED RULES 



Board within 90 days, the license will expire automatically. 

Statutory Authority G.S. 90-270.51(h): 90-270-58C. 

SECTION .0800 - ASSOCIATE STATUS 

.0801 MARRIAGE AM) FAMILY 
THERAPY ASSOCIATE 

(a) The designation marriage and family therapy Associ- 
ate shall be granted to persons preparing for the practice of 
marriage and family therapy who: 

(1) have completed a marriage and family therapy 
degree or equivalent in an allied mental health 
field; 

(2) show evidence of intent to accrue the required 
clinical contact hours for licensing under ap- 
proved supervision; 

(3) have filed a Marriage and Family Therapy 
Associate application form with the Board. 
which shall include evidence of appropriate 
course work and the agreement of at least one 
Approved Supervisor to provide supervision. 

(h) Upon approval by the Board a certificate designating 
the applicant as a Marriage and Family Therapy Associate 
will be issued and be valid for three years from the date of 
issue. 

(c) Upon petition to the Board and with demonstration of 
special circumstances and steady progress toward licensure 
the Ekiard may ^rant a one year extension of the Associate 
designation. 

(d) Persons holding the Associate designation may in no 
way identify themselves as or imply that they are licensed 
marriage and family therapists. 

Statutory Authority' G.S. 90-270. 5 1(h): 90-270. 48A(1). 

SECTION .0900 - RECIPROCITY 

.0901 RECIPROCAL LICENSE 

A reciprocal hcense will be granted under G.S. 90-270.56 
when there is a written agreement between the North 
Carolina Board and the Board regulating Marriage and 
Family Therapy in the State in which the applicant holds a 
valid license. 

Statutory Authority G.S. 90-270. 5 1(b): 90-270.56. 

CHAPTER 36 - BOARD OF >JURSrNG 

Notice is hereby given in accordance with G.S. 
150B-21.2 that the North Carolina Board of Nursing 
intends to adopt rule cited as 21 NCAC 36 .0228. 

Proposed Effective Date: February 1 , 1996. 



A Public Hearing vv;7/ he conducted at 1:00 p.m. on 
December 15, 1995 at the NC Board of Nursing Office, 
3724 National Drive, Suite 201, Raleigh, NC 27612. 

Reason for Proposed Action: To establish the qualifica- 
tions for a registered nurse to be recognized as a clinical 
nurse specialist and define the scope of advanced nursing 
activities that may be performed by the registered nurse who 
meets these qualifications. 

Comment Procedures: Any person wishing to present oral 
testimony relevant to proposed rules may register at the door 
before the hearing begins and present hearing officer with a 
written copy of testimony. Written comments concerning this 
adoption must be submitted by December 15, 1995, to: 
North Carolina Board of Nursing, P.O. Box 2129, Raleigh, 
NC 27602, ATTN: Jean H. Stanley. APA Coordinator. 

Fiscal Note: This Rule does not affect the expenditures or 
revenues of local government or state funds. 

SECTION .0200 - LICENSURE 

.0228 CLINICAL NURSE SPECIALIST PRACTICE 

(a) The registered nurse who meets the qualifications as 
outlined in Paragraph (h) of this Rule may be recognized by 
the Board as a clinical nurse specialist or a clinical nurse 
specialist applicant and perform activities at an advanced 
skill level as outlined in Paragraph (c) of this Rule. 

(h) Qualifications: 

(1) The registered nurse who has completed a 
graduate degree in a clinical nursing specialty 
and currently holds certification In a clinical 
specialty from a national credentialing body 
approved by the Board may be recognized as a 
clinical nurse specialist; or 

(2) The registered nurse who holds a graduate 
degree in a related field and who was initially 
certified by the American Nurses Credentialing 
Center as a Specialist prior to June 1992 and 
who has maintained such certification will be 
considered by the Board for recognition as a 
clinical nurse specialist; or 

(3) The registered nurse who has completed a 
graduate degree in a clinical nursing specialty 
and who is awaiting initial certification by a 
national credentialing body approved by the 
Board may be recognized by the Board as a 
clinical nurse specialist applicant for a period not 
to exceed 24 months after completion of the 
graduate program. 

(c) Clinical nurse specialist practice incorporates the basic 
components of nursing practice as defined in Rule .0224 of 
this Section as well as the understanding and application of 
nursing principles at an advanced level which includes but 
is not limited to: 

(1) assessing clients' health status, synthesizing and 



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analyzing multiple sources of data, and identify- 
ing alternative possibilities as to the nature of a 
healthcare problem; 

(2) diagnosing, treating and managing clients' acute 
and chronic health problems and formulating 
strategies to promote wellness and prevent 
illness; 

(3) prescribing and implementing therapeutic and 
corrective measures; 

(4) making independent decisions in managing 
complex client health care problems; 

(51 planning for situations beyond expertise, and 
consulting with or referring clients to other 
health care providers as appropriate; 

(6) promoting collegial and collaborative relation- 
ships with clients, families, other health care 
professionals and individuals whose decisions 
influence the health environment; 

(7) initiating, establishing and utilizing measures to 
evaluate health care outcomes and modify prac- 
tice decisions; 

(8) assuming leadership for the a pplication of re- 
search findings; and 

(9) integrating education, consultation, management, 
leadership and research into the advanced clini- 
cal specialist role. 

(d) The registered nurse who seeks recognition by the 
Board as a clinical nurse specialist or clinical nurse special- 
ist applicant shall: 

(1) complete the appropriate application, which shall 
include: 

(A) evidence of the appropriate graduate degree as 
defined in Subparagraph (b)(1), (2) or (3} of 
this Rule; and 

(B) evidence of current certification in a clinical 
specialty from a national credentialing body 
approved by the Board as defined in Subpara- 
graphs (1))(1) and (2) of this Rule; 

(2) submit an administrative fee for processing the 
application; and 

(3) submit evidence of renewal or initial certification 
at the time such occurs in order to maintain 
Board recognition consistent with Paragraph (b) 
of this Rule. 

Statutory Authority G.S. 90-171.20(4); 90-171.20(7); 90- 
171.23(b); 90-171. 42(h). 

CHAPTER 37 - BOARD OF NURSEMG 
HOME ADMINISTRATORS 

Notice is hereby given in accordance with G.S. 
150B-21.2 that the North Carolina State Board of 
Examiners for Nursing Home Administrators intends to 
amend rules cited as 21 NCAC 37C .0101 - .0103. 37D 



.0201 - .0203, .0402 - .0406, .0408 - .0412. .0501 - .0503, 
.0605; 37E .0101 - .0102; 37F .0101 - .0102; 37G .0101 - 
.0102, .0201 - .0202, .0301, .0401, 37H .0102 - .0103; 371 
.0101; repeal 21 NCAC 37A .0101. .0108. .0110, .0208, 
.0211, .0306. .0308. .0506. .0603 - .0604. .0702 - .0707. 
.0805. .0901. .0905. .0907 and adopt 21 NCAC 373 .0101 
- .0103, .0201. .0203. .0205; 37D .0101 - .0102. .0301 - 
.0303. .0601 - .0603. .0701 - .0703; 37H .0101. and .0104. 

Proposed Effective Date: April 1. 1996. 

A Public Hearing will be conducted at 9:00 a.m. on 
January 31. 1996 at 3700 National Drive. Room 104. 
Raleigh. NC 27612. 

Reason for Proposed Action: These Rules are being 
recodified in new subchapters in a more organized manner. 
Those Rules proposed to be amended and adopted better 
clarify Board requirements and operating procedures in the 
areas of application . examination. Admin'istrator-in-Training 
program, continuing education, licensing and reciprocity. 
Those rules proposed to be repealed are unnecessary or 
duplicative of information contained in the law or in other 
rules in this Chapter. 

Comment Procedures: Any person interested in these rules 
may present oral comments relevant to the action proposed 
at the public rule-making hearing. Written comments may 
be delivered to the Board office through January 30. 1996 
and must state the Rules to which the comments are ad- 
dressed. Anyone planning to attend the hearing should 
notify the Board office by January 15. 1996 whether they 
wish to speak on the proposals. Speakers will be limited to 
5 minutes. 

Fiscal Note: These Rules do not affect the expenditures or 
revenues of state or local government funds. 

SUBCHAPTER 37A - BOARD OF NURSING 
HOME ADMINISTRATORS 

SECTION .0100 - GENERAL PROVISIONS 

.0101 COPIES OF RULES 

Copios of tho Rules in this Chapter may bo obtained from 
th e Offic e of Administrativ e H e arings, Ral e igh. N.C., at a 
cost as s e t out in 26 NCAC 1 .0103. — Th e Board will 
provide ono froo copy to each licensed administrator. 

Statutory Authority G.S. 90-285. 

.0108 RELATED HEALTH CARE 
ADMINISTRATION 

"R e lat e d health car e adminiGtrotion" is defined as adminia 
tration practic e d in one or more health related institutions 
such as a hospital, nursing homo, or domiciliary car e facility 
as licensed by tho Division of Facility Scr i 'icos, Department 



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of Human Reaouroog. 

Statutory Authority G.S. 90-285. 

.0110 REFUSAL 

"Rofuflol" m e ano the denial of a lioonoe by the Board to an 
individuni who failo to moot th e qua l ifioation o "i tat e d in the 
Rules found in this Chapter and in G.S. 90 2 8 5.1. 

Statutory Authority G.S. 90-285: 90-285.1. 

SECTION .0200 - PREREQUISITES TO LICENSURE 

.0208 EXAMINATIONS 

Tho applicant must ouoo e sBfully oompleto suoh e xamina 
tions a s required by the Board in accordance with tho 
provisions as outlined in Section .0600 of these Rules. 

Statutory Authority G.S. 90-278; 90-280. 

.0211 ORAL INTERVIEW 

i\n applicant muot app e ar b e fore th e Board for a p e roonal 
int e r . 'i e w ao r e quir e d b^' the Board in aooordano e with th e 
provisions as outlined in Sections .0500 and .0900 of this 
Chapter. 

Statutory Authority G.S. 90-278: 90-285. 

SECTION .0300 - APPLICATION FOR LICENSE 

.0306 PHOTOGRAPH 

Tho applicant shall attach to his application a fmishod 
unmounted photograph of himself which shall not bo los s 
than two and on e half inch e s nor mor e than thr ee inch e s 
oquar e . which photograph shall have boon tak e n within thr e e 
month s prior to tho date of such application. 

Statutory Authority G.S. 90-278; 90-285. 

.0308 RECEIPT OF APPLICATIONS 

All applications for licensure must be rocoivod in the 
Board's offic e a minimum of throe wooko prior to th e 
m ee tmg of th e Board at which th e application io to be 
con s idered. — AJl items required to be provided to constitute 
a full application must be received by this dato. 

Statutory Authority G. S. 90-285. 

SECTION .0500 - ADMINISTRATOR-IN-TRAC^ING 

.0506 GOVERNING BOARD OR OWTVERSHIP 
RESPONSIBILITIES 

Before a preceptor accepts an jMT the governing Board or 
osvner of th e pr e c e ptor' s facility muot submit to tho Board 
a written stat e m e nt that the facility may b e utilized as a 
training site. 



Statutory Authority G.S. 90-278; 90-285. 

SECTION .0600 - EXAMINATION 

.0603 EXAMINATION 

{tt) — TTi e r e shall b e a charg e of two hundred dollars 
($200.00) to talce th e national e xamination and s e v e nty fivo 
dollars ($75.00) to take the state examination. 

(-b) — If the applicant docs not pass tho oxamination, no 
r e fund svill be made. 

(o) Th e applicant will b e r e quired to pay th e appropriate 
foe each time ho takes the examination. 

fd ) Upon tho third failure of any examination required by 
th e Board, th e iMT and th e pr e c e ptor must submit to tho 
Board a program to str e ngth e n th e candidate's sv e akn e oo an 
demonstrated by tho previous tost results. — Upon approval 
by the Board of tho program and completion thereof by tho 
candidat e , h e shall b e allow e d to tak e th e e xaminations. 

Statutory Authority G.S. 90-278; 90-280; 90-284; 90-285. 

.0604 EXAMINATIONS RETAINED 

Th e applicant's e xamination, together with a r e cord stating 
in detail tho result of the examination for each candidate, 
shall be kept by tho Board for a period of ton years. 

Statutory Authority G.S. 90-278; 90-285. 

SECTION .0700 - SUBJECTS FOR EXAMINATION 

.0702 GUIDELINES FOR RULE .0701(1) 

The following shall be considered a s guidelines with 
rospoct to tho subject area of Rule .0701(1) of this Section, 
r e sid e nt car e manag e m e nt: 

fH Nursing sorvioos. 






Social services, 
Food services. 



(4) Physician seP i iooc. 



f^) Social and therap e utic r e cr e ational aotivitios. 

f6) Medical records. 






Pharmaceutical services. 
R e habilitation s e P i ioea. 



Statutory Authority G.S. 90-278; 90-285. 

.0703 GUIDELINES FOR RULE .0701(2) 

Th e following s hall bo consid e r e d as guid e lin e s with 
respect to the subject area of Rule .0701(2) of this Section, 
personnel management: 

(44 Maintaining po s itiv e atmospher e , 

f24 Evaluation procoduroo, 

{i^ Recruitment of staff, 

f+) Inter i 'icwing candidates, 

(4) S e l e cting future e mploy ee s, 

(4) Providing staff d e velopment and training activiti e s, 

fT^ Personnel policies, 

(*) Health and safety. 



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Statutory Authority G.S. 90-278; 90-285. 

.0704 GUIDELINES FOR RULE .0701(3) 

The following shall bo conaidorod as guidolinos with 
rospoct to the gubjoct aroa of Rulo .0701(3) of this Section, 



finonoiaj manag e m e nt: 
(-H Budg e ting, 



(3)- 



Financial planning, 



(^ 



Asset management, 



f4^ Aooounting. 

Statutory Authority G.S. 90-278; 90-285. 

.0705 GUIDELINES FOR RULE .0701(4) 

The following ohall be oonsid e rod as guid e lines with 
rospoct to the subject area of Rulo .0701( 4 ) of this Sect i on, 
environmontnl management: 

f4-) Maintain and improv e buildings, grounds and 

equipm e nt, 

(3) Provide a clean, attractive, homelike environment 

for residents, staff and visitors, 

(^) Safety program which would e nsur e th e h e alth, 

welfare and saf e ty of r e sidents, staff and visitors. 



(4)- 



Have fire, disaster and emergency programs to 
protect tho safety and welfare of re s idents, staff 
and prop e rty. 



Statutory Authority G.S. 90-278; 90-285. 

.0706 GUIDELINES FOR RULE .0701(5) 

Th e following shall b e considered as guid e lin e s with 
rospxMJt to tho subject area of Rulo .0701(5) of this Section, 
regulator)' management: 

(-4-) Polici e s and — proc e dur e s — in plac e — to maintain 

complianc e with laws and r e gulations, 

^54 



fSf- 



Policios and — procedures — in plac e — to maintain 
compliance with directives of governing entities 
(ie. Board of Dir e ctors). 



Statutory Authority G.S. 90-278; 90-285. 

.0707 GUIDELINES FOR RULE .0701(6) 

Th e following shall b e consid e r e d as guid e lin e s with 
respect to tho subject area of Rulo .0701(6) of this Section, 
organizational management: 

f4-) M e asur e outcom e s of all programs, polici e s, and 

proc e dur e s of facility to e nsur e e ff e ctiv e n e ss. 

f3) Process for communicating with res i dents, fami 

lies, staff, volunteers and governing entities. 

Statutory Authority G.S. 90-278; 90-285. 

SECTION .0800 - GRADING EXAMINATIONS 

.0805 GRADING OF ORAL EXAMINATION 

When an oral examination is used for a handicapped 
applicant, totally or as part of tho examination process, tho 



Board, or tho examiners designated for such purpose, shall 
UDO as a basis for ouch oral e xaminat i on a written pr e pared 
outlin e of s ubj e ct matt e r bas e d upon or similar to tho 
roquiromonts of Rulo .0701 of this Chapter. — Tho Board 
shall designate weighted values to the s ubject matter for 
such oral e xamination. 

Statutory Authority G. S. 90-285. 

SECTION .0900 - LICENSES 

.0901 ISSUANCE 

Ever)' person who is i ss ued a license by the Board s hall 
imm e diately upon issuanc e th e r e of b e deemed registered 
v . 'ith th e Board and b e issu e d a c e rtificat e of r e gistration. — A 
licensee must notify the Board in writing within 15 days of 
any change of address (home and work). 

Statutory Authority G.S. 90-278; 90-279; 90-285; 

.0905 RENEWAL CERTIFICATE 

Upon r e c e ipt of such application for r e n e wal and th e 
lic e nsur e f ee , th e Board shall issue a c e rtificat e of r e giotra 
tion to such nursing home administrator. 

Statutory Authority G.S. 90-285; 90-286. 

.0907 TITLE 

(a) Only an individual who is licensed as a nursing homo 
administrator shall hav e th e right of using th e titl e nursing 
hom e administrator and hav e th e right of using th e abbr e via 
tion "N.H.A." after his name. 

(b) No other person may use or be designated by this title 
or abbreviation or any oth e r words or l e tt e rs int e nd e d to 
indicat e that such p e rson is a lic e ns e d nursing hom e admin 
istrator. 

Statutory Authority G.S. 90-285; 90-288. 

SECTION .1200 - RULEMAKING AND 
DECLARATORY RULINGS 

.1203 TEMPORARY RULES 

Tho fX)wor of tho Board to adopt temporary rules and the 
procedure by which such rules aro put into effect are 
gov e rn e d by G.S. 150B 13. 

Statutory Authority G.S. 90-285; 150B-13. 

SUBCHAPTER 37B - DEPARTMENTAL RULES 

SECTION .0100 - GENERAL PROVISIONS 

.0101 AUTHORITY: NAME & LOCATION 
OF BOARD 

The "North Carolina State Board of Examiners for 
Nursing Home Administrators," subsequently herein 



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PROPOSED RULES 



referred to as the "Board" is established and authorized by 
G.S. 90. Article 20. Tlie Board's physical location and 
3733 National Drjye, 



Suite 228. 



mailing address is: 

Raleigh. North Carolina 27612. 

Statutory Authonn G.S. 90-277. 



.0102 ELECTION OF OFHCERS 

Tlie Board shall, at the first meeting subsequent to January 
X of each year, elect a chairperson, vice-chairperson and 
secretary'. Vacancies m the officers' terms, occurring from 
death, resignation, disability or expiration of Board service, 
shall be filled by election at the next Board meeting follow- 
ing the vacancy . 

Statutory Authority G.S. 90-283. 

.0103 LICENSED ADMENISTRATOR REQUIRED 

Onh nursing homes supervised by an administrator 
licensed in accordance with the requirements of G.S. 90, 
Article 20 and these Rules may operate in this state. 

Authority G.S. 90-276; 90-284; 90-285; 90-288; 42 C.F.R. 
431.701; 42 C.F.R. 431.703. 

SECTION .0200 - DEFINITIONS 

.0201 ADMINISTRATOR OF RECORD 

".Adrrunistrator of Record" means one who is responsible 
for the da^; to day operations of a nursing home facility and 
who is physically present in the facilir\- 35 hours per week, 
subject only to the limited exceptions provided by state and 
federal laws and regulation and North Carolina Division of 
Facility Ser\'ices Rules. 

Statutorv Authority G. S. 90-285. 



T#909 .0202 



LICENSE 



.0203 NATIONAL EXAM 

The term "National Exam" as used in these Rules means 
the examination prosided by the National Association of 
Boards of Examiners for Nursing Home Administrators. 

Statutory Authority G.S. 90-278. 

T#W» .0204 PRACTICE OF NURSING 
HOME ADMINISTRATION 

.0205 STATE EXAM 

The term "State Exam" as used in these Rules means the 
examination pro\ided by this Ik)ard regarding state laws and 
ru les. 

Statutory Authority G.S. 90-278. 

SUBCHAPTER 37C - RLUEMAKING ANT) 



DECLARATORY RULINGS 

SECTION .0100 - ADOPTION OF RULES 

Aim .0101 PETITIONS FOR ADOPTION 
OF RULES 

(a) General. The procedure for petitioning the Board to 
adopt, amend, or repeal a rule is governed by G.S. 150B 16 
150B-20 . 

(b) Submission. Rule-making petitions shall be sent to 
the Board Executive Director. No special form is required, 
but the petitioner shall state his name and address. There 
are no minimum mandator)' contents of a petition, but the 
Board considers the following information to be pertinent: 

(1) a draft of the proposed rule: 

(2) the reason for its proposal; 

(3) the effect of the proposed rule on existing rules 
or decisions; 

(4) data supporting the proposed rule: 

(5) practices likely to be affected by the proposed 
rule: 

(6) persons likely to be affected by the proposed 
rule. 

(c) Disposition. The Board Executive Director shall 
review the petition and develop a recommendation as to 
whether the petitioner's proposed rule should be rejected or 
implemented. The Board Executive Director shall present 
the petition and his recommendation to the Board at its next 
regular meeting following receipt of the petition, and the 
Board shall render its decision to either deny the petition or 
initiate rule-making. The Board shall notify the petitioner 
of its decision in writing within the 120 day penod set by 
G.S. 150B 16 150B-20. 

Statutory Authority G. S. 90-285; 150B-20. 

.4502 .0102 PROCEDURE FOR ADOPTION 
OF RLXES 

(a) General. The procedure for the adoption, amendment 
or repeal of rules is governed by G.S. 150B 12 150B-21.2 . 

fb) Notice of Rule-making. Notice of rule-making wiii 
shall be published in the North Carolina Register. Any 
person who wishes to receive indi\ idual notice shall file a 
wntten request with the Board Executive Director and shall 
be responsible for the cost of mailing said notice. 

(c) F*ublic Hearing. Any public rule-making hearing 
required by G.S. 150B 12 150B-21.2 shall be conducted by 
the Chairman of the Board or by any person he may 
designate. The presiding officer shall have complete control 
of the hearing and shall conduct the hearing so as to provide 
a reasonable opportunitv' for any interested person to present 
views, data, and comments: 

(1) oral presentations shall not exceed 15 minutes 
unless the presiding officer, in his discretion, 
prescribes a greater time limit. 

(2) written presentations shall be submitted prior to 
or during a rule-making hearing and shall be 



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PROPOSED RULES 



acknowledged by the presiding officer and shall 
be given the same consideration as oral presenta- 
tions. 

Statutory Authority G.S. 90-285; 150B-21.2. 

A3M .0103 DECLARATORY RULINGS 

(a) General. The issuance of declaratory rulings by the 
Board is governed by G.S. 150B 17 150B-4 . 

(b) Request And Contents. A request for a declaratory 
ruling shall be in writing and addressed to the Board 
Executive Director. The request shall contain the following 
information: 

(1) the name and address of the person making the 
request; 

(2) the statute or rule to which the request relates; 

(3) a concise statement of the manner in which the 
person has been aggrieved by the statute or rule; 

(4) a statement as to whether a hearing is desired 
and, if desired, the reason therefor. 

(c) Refijsal To Issue Ruling. The Board shall ordinarily 
refuse to issue a declaratory ruling under the following 
circumstances: 

(1) when the Board has already made a controlling 
decision on substantially similar facts in a con- 
tested case; 

(2) when the facts underlying the request for a 
ruling were sjDecifically considered at the time of 
the adoption of the rule in question; or 

(3) when the subject matter of the request is in- 
volved in pending litigation in North Carolina. 

Statutory Authority G. S. 150B-4. 

SUBCHAPTER 37D - NEW LICENSES 

SECTION .0100 - GENERAL 

.0101 OVERVIEW 

The Board issues new licenses, reciprocal licenses and 
temporary licenses. All a pplicants shall comply with the 
a pplication requirements set out in Section .0200 of this 
Subchapter. New license applicants shall successfully 
complete an ATT program pursuant to Section .0400 of this 
Subchapter, successfully complete the AIT course pursuant 
to Section .0300 of this Subchapter, pass the national exam 
pursuant to Section .0600 of this Subchapter and pass the 
state exam pursuant to Section .0700 of this Subchapter. 
Reciprocal license applicants shall provide proof that that 
original license from another jurisdiction substantially meets 
the a pplicable North Carolina licensure requirements and 
shall pass the national and state exams. Temporary licenses 
shall be issued pursuant to 21 NCAC 37F .0100. 

Statutory Authority G.S. 90-279; 90-287. 

.0102 STEPS FOR NEW LICENSE APPLICANTS 



New license a pplicants shall: 

(1) Meet educational and experience requirements as 

set out in 21 NCAC 37D .0300 generally; 
{2} A pply for and successfully complete the AIT 

program pursuant to lA NCAC 37D .0400; 
12} Apply for and successfully complete the required 

course pursuant to 21 NCAC 37D .0303; 

(4) Apply for and successfully complete the national 
exam pursuant to 2i NCAC 37D .0600; 

(5) Apply for and successfully complete the state 
exam pursuant to 21 NCAC 37D .0700; 

(6) Apply for licensure pursuant to TA NCAC 37D 
.0200. 

Statutory Authority G.S. 90-285. 

SECTION .0200 - APPLICATION FOR LICENSE 

.MU .0201 APPLICATION PACKAGE 

(a) An applicant for oxamination and qualification for a 
lieonso shall mako request, in writing, an application 
package addressed to on a form obtain e d by writing: — N.C. 
Stat e Board of Examin e rs for Nursing Hom e Administra 
tors, 3701 — National Drivo, — Suite — 123, Raloigh. — North 
Carolina 27612. the Board. The request shall be accompa- 
nied by an initial application fee of $25.00 which shall be 
credited to the total application fee. 

(b) Tho form shall include the applicant's name, employ 
mont — ox[>orioneo, — educational — qualification s , — questions 
p e rtaining to moral ohamotor, and any other information that 
th e Board r e quir e s to b e in th e application. 

(b) All applications shall be received in the Board's 
office a minimum of three weeks prior to the meeting of the 
Board at which the application is to be considered. All 
items required to be provided to constitute a full application 
shall be received by this date. 

Statutory Authority G.S. 90-278; 90-285. 

.Mi^ .0202 INITUL LICENSURE FEE 

The applicant wiH shall send to the Board, prior to 
licensure, an initial licensure fee of t>vo hundred fifty dollars 
($250.00) three hundred dollars ($300.00) when applicant 
has successfully passed the examinations as required by the 
Board under Rule .020 8 37D. Sections .0600 and .0700 of 
this Chapter. 

Statutory Authority G.S. 90-280. 

SiOi .0203 REFERENCES 

A candidate for licensure shall submit with his application 
three reference forms (one of which must shall be from an 
previous employer) from individuals not related to the 
candidate who shall certify to the good moral character of 
the applicant. It shall be prima facie evidence of good 
moral character if a candidate has not violated any standards 
stated in G.S. 90-285.1. 



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Statutory Authority G.S. 90-278; 90-285. 

MM .0204 FELONIES AND/OR 
MISDEMEANORS 

SECTION .0300 - EDUCATION, 
EXPERIENCE AND REQUIRED COURSE 

.0301 EDUCATION 

To be eligible for the national and state exams and for 
licensure, an applicant shall have either a minimum of two 
years credit from an accredited college as described in G.S. 
90-278(b) or have a combination of education and experi- 
ence approved by the Board pursuant to 21 NCAC 37D 
.0302. All education credit shall be documented by an 
official originally sealed college transcript. 

Statutory Authority G.S. 90-278. 

.0302 COMBINATION OF EDUCATION 
AND EXPERIENCE 

A combination of education and experience shall comply 
with the following requirements: 

(1) A minimum of one year of college credit from an 
accredited institution with a cumulative average of 
at least a 2J) grade point average on a 4^ pomt 
scale. 

(2) SupeA'isory exp>erience may be substitute for up to 
one year of education at the rate of two years 
experience for one year of education credit- 
Supervisory experience for purposes of this sec- 
tion means having continuous, direct management 
responsibility, including some responsibility for 
hiring and firing, over the equivalent of at least 
one full-time employee. Such supervisory experi- 
ence shall have been in a nursing home within the 
five years preceding the date of application. 

Statutory Authority G.S. 90-278. 

.0303 REQUIRED COURSE 

TTie course prescribed by the Board pursuant to G.S. 90- 
278(c) shall be comprised of in-class, field and correspon- 
dence components included in the current description of the 
Basic Nursing Home Administrator Course provided by the 
School of Public Health at UNC-Chapel Hill or its substan- 
tial equivalent as approved by the Board. 



which shall contain such information as name, education, 
employment history, questions pertaining to moral character, 
and any other information the Board may require to process 
an application according to these Rules, and an affidavit 
stating that the applicant, if granted a license, shall obey the 
laws of the state and the rules of the Board, and shall 
maintain the honor and dignity of the profession. 

(h) The applicant shall submit a background resume 
indicating the areas in which he is competent or lacking. 

(c) The applicant shall submit three reference forms (one 
of which shall be from an employer) from individuals not 
related to the applicant which shall certify to his or her good 
moral character as required and defined by Rule .0303 
.0203 of this Chapt e r. Subchapter. 

(d) The applicant shall supply a certified copy of each 
college transcript indicating the courses completed and hours 
earned, specifying whether semester or quarter hours. 
Instead of a transcript the applicant shall supply documenta- 
tion of his supervisory experience in a nursing home if he 
is utilizing the experience substitute for the education 
requirement as allowed by General Statute 90-278(1 )b. 

£e} The applicant shall a ppear before the Board for a 
personal interview. 

(f}fe) The preceptor shall submit to the Board three weeks 
prior to the personal interview^ a rooommondod number of 
w ee ks and on individualiz e d ourrioulum for th e iMT pro 
gram that s hall provid e th e iMT with on th e job oxp e ri e no e 
in the six subjoct areas outlined in Sootion .0700 of this 
Chapt e r. 

(1) Facility Survey Form; 

(2) Letter accepting individual as an AIT; 

(3) An individualized curriculum for the AIT pro- 
gram that provides the AIT with on the job 
experience in the subject areas as outlined in 
Section .0700 of this Chapter, including the 
recommended number of weeks in the program: 

(4) Map to facility and/or directions. 

(g) The owner of the facility or governing board shall 
submit to the Board three weeks prior to the personal 
interview, a letter of approval for the AIT applicant to train 
in their facility. 

Ol)ff) A fee of one hundred fifty dollars ($150.00) shall 
be submitted with the application. 

iiHg) An AIT applicant mast shall maintain at all times a 
current residence mailing address with the Board office. 

Statutory Authority G.S. 90-278; 90-280; 90-285. 



Statutory Authority G.S. 90-278. 

SECTION .0400 - ADMENISTRATOR-IN-TRAINING 

7«5M .0401 TRAINING REQUIREMENT 

7^502 .0402 APPLICATION TO BECOME 
ADMINISTRATOR-IN-TRAINING 

(a) The applicant shall submit to the Board an application. 



tO504 .0403 TRAINING PERMIT 

(a) After the interview and approval, and upon notifica- 
tion from the preceptor of the starting date of the AIT 
program, the Board shall issue an ATT training permit to the 
applicant for a maximum one-year period beginning on the 
date the permit is issued. 

fb) Should the AIT not maintain acceptable standards and 
submit the required reports, the Board may place the AIT 
on probation or may rescind the AIT training permit. 



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Statutory Authority G.S. 90-278; 90-285. 

,M05 .0404 ADMINISTRATOR-IN-TRAINING 
SELECTION 

(a) From an approved list of preceptors, the AIT appli- 
cant shall select a preceptor of his choice prior to submitting 
application to the Board. 

(b) It shall be the responsibility of the AIT applicant to 
contact a preceptor to determine if the preceptor shall accept 
the AIT applicant. 

(e) — Ono e a proooptor aoo e pto on iMT applicant, th e 
procoptor must oubmit to the Board a written stntomont that 
ho or she is willing to serve aa a procoptor. 

(d) — The pr e ceptor ohall notif)' th e Board of th e starting 
data of tho ;MT program and th e dat e of any diGoontinnono e . 

(c}(e) Any change in preceptor must shall be approved by 
the Board. 



Statutory Authority G.S. 90-278; 90-285. 

^%&^ .0405 ADMINISTRATOR-IN-TRAINING 
PROGRAM 

(a) The preceptor wili shall evaluate and recommend to 
the Board the length of the AIT program required to teach 
the core of knowledge as outlined in Section .0700 21 
NCAC 37D .0605 of th e s e Rul e a before accepting the AIT 
to train in a facility approved by the Board subject to the 
following provisions: 

(1) in determining the length of the AIT program, 
the preceptor shall consider the strengths and 
weaknesses of the AIT applicant as it relates to 
his/her education and past supervisory experi- 
ence. (An inventory sheet wiU shall be provided 
to help the preceptor determine the knowledge of 
the AIT applicant.); 

(2) the AIT program wiU shall be presented to the 
Board by the preceptor and the AIT during the 
personal interview as required under Rule 
.0502( e ) .0405(e) of this Section; and 

(3) except as otherwise allowed under Rule .0520 
.0412 of this Section, all AITs shall serve a 
minimum of 12 weeks in the AIT program, plus 
any additional weeks as determined by the 
Board. In determining whether to require 
additional weeks In addition to the 12 week 
minimum, the Board shall consider the recom- 
mendation of the preceptor, and the Board's 
independent consideration of the AIT applicant's 
education, training and experience relevant to 
operating a health care facility. 

(b) An AIT applicant who is working toward or has 
completed a baccalaureate or masters degree In nursing 
home administration or a related health care administration 
field shall serve a minimum of 12 weeks in the AIT pro- 
gram as part of his/her educational curriculum in a North 
Carolina Ucensed nursing home under the supervision of an 
approved preceptor. 



(c) An AIT shall complete a basic Nursing Home Admin- 
istrator course approved by the Board within two years 
preceding an application for licensure. 

£d}(e} At the completion of the approved AIT program 
and upon successfully passing the examinations as required 
by the Board, the AIT will shall be issued a license. 

(d^ — All p e rsons who hold a valid provioional lic e ns e or 
who have complotod tho roquiromonts for a provisional 
Uconiso as of tho amondod offoctivo date of this Rulo shall bo 
issu e d a full lic e ns e upon submission (within 12 months 
from th e e ff e ctiv e dat e of this Rulo) to th e Board thoir 
provisional liconso or payment of tho licensing foo if 
applicable. 

Statutory Authority G.S. 90-278; 90-285. 

t05W .0406 AIT REPORTS 

(a) At the conclusion of each month, the ATT shall submit 
to the Board a report on an e valuation of his progress on a 
form provided by the Board for that purpose. Tho oxcop 
tion to this roquiromont will bo Provided, however, an AIT 
approved for a program of 20 wooko or less than 20 weeks 
in length, who will shall submit weekly reports. 

(b) The report form requires the name of the AIT, a 
statement of the subject areas covered that week or month, 
the number of hours the AIT has completed that week or 
month, comments from the preceptor concerning the 
progress of the AIT's training, a description of the adminis- 
trative activities in which the AIT has participated, sugges- 
tions for improvement in the program, and other informa- 
tion that the Board requests. 

(c) Both the preceptor and the AIT vrtH shall sign the 
report, form, verifying the accuracy of the information. 

{d}(e) Weekly or monthly reports must shall be received 
in the Board's office within ten days of the end of the 
reporting period. 

Statutory Authority G.S. 90-278; 90-285. 

-M\=l- .0407 AIT TIME ON THE JOB 

.f^&U .0408 CHANGE OF STATUS AND 
DISCONTINUANCE 

(a) If the AIT desires to change preceptors, he /sho must 
shall submit a Notice of Change of Status and/or Discon- 
tinuance form provided by the Board. Prior to changing 
preceptors, the AIT must shall notify the Board and the 
Board^s Executive Director Chairman may grant such 
requests subject to approval at the next regularly scheduled 
board meeting. 

(b) If the AIT desires to discontinue hi s/h e r internship, 
the Notice of Change of Status and/or Discontinuance form 
must shall be submitted within 10 days of discontinuance 
before any accumulated training time may be considered 
should the ATT elect to re-enter his/beF internship program 
at a future date. 

(c) The form requires the name of the AIT and preceptor. 



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PROPOSED RULES 



the change requested, the effective date, reasons for the 
change, and any other information that the Board requests. 
Either the AIT or the preceptor muot shall sign the form 

Statutory Authority G.S. 90-278; 90-285. 

SUS .0409 DISMISSAL FROM PROGRAM 

(a) The preceptor and/or Board staff wttt shall inform the 
AIT of his performance as the program progresses. 

(b) If the AIT's performance is not acceptable, the 
preceptor and/or Board staff wiH shall so inform him, and 
the AIT w+H shall be given an opportunity to correct the 
deficiencies. 

(c) If the AIT does not correct the deficiencies, either the 
preceptor, or the Board aftar oonsultation svith the Board , 
win shall notify the ATT that he can no longer participate in 
the program. 

Statutory Authority G.S. 90-278; 90-285. 

SSU .0410 COMPENSATION OF AITS 

(a) TTie Board wiU shall not pay the AIT compensation 
for his work in the program. 

fb) The facility in which the AIT is training may compen- 
sate the AIT, but is not required to do so. 

Statutory Authority G.S. 90-278; 90-285. 

.M©3 .0411 APPROVAL OF PROGRAMS 
OF STUDY EM ACCREDITED 
INSTITUTIONS 

An AIT must shall obtain prior approval from the Board 
before taking a program of study designed to train and 
qualify appUcants for licensure as nursing home administra- 
tors offered by an accredited university, college, or commu- 
nity college, correspondence program, or other board 
approved courses, which program contains instruction on the 
services provided by nursing homes, laws governing nursing 
homes, protection of patient interests and nursing home 
administration. 

Statutory Authority G.S. 90-278; 90-285. 

-MM .0412 EXCEPTION TO TWELVE 
WEEK AIT PROGRAM 

The minimum of 12 weeks of service as an AIT may be 
reduced at the discretion of the Board upon submission of 
evidence satisfactory to the Board that the applicant: 
(1) has had a management position for four years 

within the previous five years in a hospital which 
has beds licensed for nursing home level of care, 
in which position the level of responsibility and 
complexity for the management of human, finan- 
cial, and material resources for the provision of 
care was of a magnitude at least equal to that of a 
licensed nursing home administrator, and in which 
there was exposure to and familiarity with the 



subject areas outlined in Rule .0701 2\ NCAC 
37D .0605 . or 
(2) has served as the assistant administrator or direc- 
tor of nursing of a facility licensed as a nursing 
home for four years within the previous five 
years, in which position the level of responsibility 
and complexity for the management of human, 
financial, and material resources for the provision 
of care was of a magnitude at least equal to that of 
a licensed nursing home administrator, and in 
which there was exposure to and familiarity with 
the subject areas outlined in R«le .0701 2i NCAC 
37D .0605 . 

Statutory Authority G.S. 90-278; 90-285. 

SECTION .0500 - PRECEPTORS 

T«507 .0501 APPLICATION FOR 

PRECEPTOR CERTIFICATION 

(e) A licensed Nursing Home Administrator wishing to be 
certified as a preceptor for the AIT program may apply to 
the Board on an application obtained by writing: N.C. State 
Board of Examiners for Nursing Home Administrators, 
2701 National Drive, Suite 123 3733 National Drive. Suite 
228 , Raleigh, North Carolina 27612. 

(b) Th e application form shall require suoh information aa 
the applicant's name, address, licensing history, education, 
expononoe. and other information which the Board deoms 



Statutory Authority G.S. 90-278; 90-285. 

tOSOS .0502 PRECEPTOR QUALinCATIONS 

(a) To be certified as a preceptor the nursing home 
administrator must shall : 

(1) exemplify the highest ethical and professional 
standards and has not have violated any stan- 
dards stated in G.S. 90-285.1; 

(2) have been the administrator of record practiced 
in the field of a nursing home facility for admin 
istration a minimum of two years or have a 
masters degree in health care administration and 
have been the administrator of record of a 
nursing home facility for has practiced in the 
fi e ld a minimum of one year; 

(3) certify that no revocation proceeding, suspension 
of admissions, or provisional license has been 
initiated or is in effect against his/her facil- 
ity(ies); 

(4) express himself well and be at ease in a teaching 
situation; 

(5) be the full time administrator of record of a 
facility that is licensed by the Division of 
Facility Services as a nursing home; and b e 
physically pr es ent in the facility a minimum of 
throe days per week; 



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(6) successfully complete a preceptor training course 
approved by the Board; within the past two 
years; and 

(7) complete 40 hours of continuing education 
during the 24 months preceding application for 
certification. 

(b) A preceptor must shall be recertified biennially by 
the Board in accordance with the qualifications as set out in 
Paragraph (a) of this Rule at the time of license renewal. 

(c) The preceptor and the AIT shall spend a minimum of 
four hours per week in orientation, direct instruction, 
planning and evaluation. 

(d) An administrator licensed by reciprocity/endorsement 
who held an active preceptor certificate in another state may 
also receive a North Carolina preceptor certificate if all 
other requirements are met. 

(e) Any administrator who otherwise meets all require- 
ments of this Rule except for completion of the approved 
course under Subparagraph (a)(5) of this Rule and who has 
previously been certified as a preceptor may be issued a 
temporary preceptor certificate by the Board Chairman - until 
such course is completed. 

Statutory Authority G.S. 90-278; 90-285. 

t0*13 .0503 PRECEPTOR'S REPORTS 

(ft) — Th e pr e ceptor ohall mak e oomm e nts on th e AIT's 
wookly/monthly roport regarding tho progress of his/hor 
training. 

£a}(fe) At the end of the approved AIT program, the 
preceptor will shall submit a report and an evaluation of the 
AIT on forms provided by the Board. These forms are to 
be submitted to the Board within 10 days of completion of 
the ATT program. The forms wiH shall require the name of 
the AIT, the place of training, an evaluation of the AIT's 
abUities, and other information that the Board requests. The 
preceptor wtH shall sign the forms. 

£b)(6) The reports will shall be filed in the AIT's file in 
the Board's office and will shall become a permanent record 
in the individual's file. 

Statutory Authority G.S. 90-278: 90-285. 

SECTION .0600 - NATIONAL EXAM 

.0601 ELIGIBILITY 

£a} To be eligible to take the national exam, an applicant 
shall: 

(1) be approved for an AIT program which shall be 

completed within 45 days after the exam; or 
(2} be exempt pursuant to G.S. 90-278(l)(dV. or 
(3) be a reciprocal applicant whose prior exam 
scores do not meet current N.C. requirements, 
(b) Upon the failure of any examination the fourth time', 
the AIT shall be disqualified from continuing in the pro- 
gram. Nothing in this Rule shall be construed to prevent 
the applicant from reapplying for entrance to the AIT 



program. 

(c) Upon the third failure of any exam required by the 
Board, the ATT and the preceptor shall submit to the Board 
a program to strengthen the candidate's weakness as 
demonstrated by the previous exam results. Upon approval 
by Ae Board of the program and completion thereof by the 
candidate, he shall be eligible to retake the exam. 

Statutory Authority G.S. 90-278; 90-285. 

.0602 NATIONAL EXAM APPLICATION 

To sit for the National Exam, a person shall submit an 
exam application on a form provided by the Board, which 
a pplication shall be received 30 days prior to the examina- 
tion date. Applicants shall also submit an initial application 
for licensure as described in 2\_ NCAC 37D .0201. 

Statutory Authority G.S. 90-285. 

.0603 NATIONAL EXAMINATION 
ADMINISTRATION 

(a) The national exam shall be offered four times annually 
on the second Thursday in the months of January, April, 
July and October. 

(b) An applicant shall sit for and pass the national and 
state exams within one year of the date of completion of the 
AIT program in order to meet the AIT requirement. 

(c) An a pplicant shall pay two-hundred dollars ($200.(X)) 
each time he takes the national examination. 

Statutory Authority G.S. 90-280; 90-285. 

T««W .0604 GRADE REQUIRED 

T«W4 .0605 SUBJECT AREAS 



The written or oral national examination shall include, but 
need not be limited to, the following subjects: 

(1) Resident Care Management, 

(2) Personnel Management, 

(3) Financial Management, 

(4) Environmental Management, 

(5) Regulatory Management, 

(6) Organizational Management. 

Statutory Authority G.S. 90-278; 90-285. 

SECTION .0700 - STATE EXAM 

.0701 ELIGIBILITY 

To be eligible to take the state examination, the applicant 
shall be qualified under Rules .0601 and .0603(b) of this 
Subchapter. 

Statutory Authority G.S. 90-285. 

.0702 APPLICATION 

To sit for the state examination, a person shall submit an 



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PROPOSED RULES 



application on a form provided by the Board. 

Statutory Authority G. S. 90-285. 

.0703 STATE EXAMEVATION 
ADMINISTRATION 

(a) The state examination shall be given on the same dates 
as the national examination. It may also be offered on 
different dates to reciprocity applicants and to applicants 
who have passed the national examination but have previ- 
ously failed the state examination. 

(b) An applicant shall pay a fee of seventy-five dollars 
($75.00) each time he takes the state examination. 

Statutory Authority G.S. 90-280. 90-285. 

SUBCHAPTER 37E - RECIPROCITY/ 
ENDORSEMENT 

SECTION .0100 APPLICATIONS 

.«W3 .0101 APPLICATION PROCESS 

(-ft) The Board may issue a license, to a nursing home 
administrator who holds a nursing home administrator 
license issued by the proper authorities of any other state, 
upon payment of the current licensing fee, successful 
completion of the state examination, and submission of 
evidence satisfactory to the Board as to the following: 

(1) such applicant for licensure must shall have 
personal qualifications, education, training ef and 
experience at least substantially equivalent to those 
required in this state; 

(2) such applicant must shall be licensed in another 
state that gives similar recognition and reciproc- 
ity/endorsement to nursing home administrator 
licenses of this state; and 

(3) such applicant for license by reciproc- 
ity/endorsement holds a valid active license as a 
nursing home administrator in the state from 
which he is transferring. 

Statutory Authority G.S. 90-280; 90-285: 90-287. 

.MU .0102 APPLICATION CONTENTS 

{b) An applicant for reciprocity/endorsement shall submit 
^ three weeks prior to the personal inter%'iew. a completed 
application, background resume, certified college tran- 
script(s), three reference forms (one of which must shall be 
from an provious employer) from individuals not related to 
the applicant who shall certify to the good moral character 
of the applicant as defined in Rule .0303 of this Chapt e r, 21 
NCAC 37D .0203 licensing questionnaire(s) from every 
state where the applicant has held a license, a one hundred 
twenty five dollar ($125.00) application fee, and appear 
before the Board for a personal interview. 

Statutory' Authoritv G. S. 90-280: 90-285: 90-287. 



7«M3 .0103 DENIAL AND REVOCATION 

(e) The Board shall have the power, after due notice and 
an opportunity to be heard at a hearing, to revoke or 
suspend the nursing home administrator license issued to 
any person under this Rule upon evidence satisfactory to the 
Board that the duly constituted authorities of any other state 
have lawfully revoked or suspended the nursing home 
administrator license issued to such person by such state. 

Statutory Authority G. S. 90-280: 90-285: 90-287. 

SUBCHAPTER 37F - TEMPORARY LICENSES 

SECTION .0100 - TEMPORARY 
LICENSE REQUIREMENTS 

Ami .0101 PREREQUISITES FOR 
TEMPORARY LICENSURE 

(a) A temporary liconso may bo issued by the chairman 
of the Board The chairman of the Board may issue a 
temporary license through the Executive Director for an 
initial period of time from issuance until the next Board 
meeting to an individual temporarily filling the position of 
a nursing home administrator provided one of the unusual 
circumstances in Paragraph (b) of this Rule exists and the 
prerequisites for temporary license in Paragraph (c) of this 
Rule have been met. 

(b) The nursing home must shall prove to the satisfaction 
of the Board that one of the following unusual circumstances 
exists: 

(1) sudden death of the licensed administrator; 

(2) unexpected transfer of the licensed administra- 
tor; or 

(3 ) unforeseeable termination of the licensed admm- 
istrator. 

(c) An individual applying for a temporary license must 
shall : 

(1) be at least 18 years of age; 

(2) be of good moral character; 

(3) be of sound physical and mental health; 

(4) have previously served as a licensed administra- 
tor in another state, served as assistant adminis- 
trator in a nursing home for at least two years , 
served as director of nursing in a nursing home 
for at least one year , or be otherwise compara- 
bly qualified. 

Statutory Authority G.S. 90-278: 90-279: 90-285. 

Ami .0102 ISSUANCE AND RENEWAL 
OF TEMPORARY LICENSE 

(a) An applicant for a temporary license shall request, in 
writing, a temporary license package from the Board, 
provide a letter from the owner or regional manager 
requesting the issue of such license for the facility, stating 
the circumstances necessitating the issuance of a temporary 



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PROPOSED RULES 



license, and submit a completed application package includ- 
ing payment of a one-hundred dollar ($100.00) fee. 

(b}(ft) After an applicant is issued a temporary license he 
must shall successfully pass the state examination as 
administered by the Board at the next scheduled testing 
period to retain the temporary license. 

(c_l(fe) A temporary license may be renewed at the 
discretion of the Board for an additional period not to 
exceed a total of six months. 

(d)fe> A temporary license will shall be issued to the 
licensee to jjermit him to practice only in the nursing home 
to which he is assigned on the date of issuance. 

(eifd) Any person having a temporary' liconso issued 
purouant to th e Ruloo of this S e ction ohall pay a f ee in th e 
amount of on e hundred dollars ($100.00). If the Board 
renews the temporary license, no further fee shall be 
required. 

Statutory Authority G.S. 90-278; 90-280; 90-285. 

SUBCHAPTER 37G - RENEWAL, INACTIVE, 

RESTORATION AND REINSTATEMENT, 

DUPLICATE 

SECTION .0100 - RENEWAL REQUIREMENTS 

T«905 .0101 RENEWAL 

(a) A license shall expire on the 30th day of September 
of the second year following its issuance. 

(ft)(b) TTie licensee shall biennially apply to the Board for 
a new certificate of registration to be displayed with the 
permanent license and report any facts requested by the 
Board on forms provided by the Board. 

(¥>(c) The form wiH shall include the name of the 
licensee, address, the place of the applicant's practice, at 
least 30 hours of continuing education credits, any criminal 
convictions and administrative disciplinary action by any 
other licensing boards in the proceeding two years and any 
other information which the Board may feel it needs to act 
upon the application. 

(frKd) As a courtesy, the Board wiU shall send renewal 
notices to the last address on record; it is the individual 
licensee's responsibility to keep this information current 
with the Board office, 

(e) A Ucensee shall notify the Board in writing within 15 
days of any change of address (Tiome and work) or employ- 
ment. 

Statutory Authority G.S. 90-285; 90-286. 

t09©4 .0102 RENEWAL FEE 

(a) Upon making application for a new certificate of 
registration a licensee shall pay a biennial licensure fee of 
Uvo hundr e d fifty dollaro ($250.00). three hundred dollars 
($300.00). 

(b) Such licensee shall provide documentation of the 
completion of 30 hours of continuing education approved by 



the Board during each biennial period. 

Statutory Authority G.S. 90-280; 90-285; 90-286. 

SECTION .0200 - INACTIVE LICENSES 

tW06 .0201 EVACTIVE STATUS 
REQUIREMENTS 

fa) — A liconso shall expire on the 30th day of Soptombor 
of th e oeoond year following its ioounnoo. 

fb4(a) An inactive list of administrators who are not 
practicing in this state shall be maintained by the Board. An 
administrator who desires to be placed on the inactive status 
list must shall make a written request and submit a 
twenty-five dollar ($25.00) fee to the Board. Inactive status 
win shall only be granted on a prospective basis. 

fe4(b) A request to be placed on the inactive status list 
must shall be submitted to the Board no later than 30 days 
after expiration of the license under Paragraph (a) of this 
Rule. Failure to submit the request within this time shall 
result in automatic expiration of the license retroactive to the 
date set forth in Paragraph (a) of this Rule. 

(d4(c) An administrator may remain on the inactive list 
for a period not to exceed five years. 

Statutory Authority G. S. 90-280; 90-285. 

.«9©2 .0202 ACTIVATION OF INACTIVE 
LICENSE 

(a) A nursing home administrator whose license has been 
inactive for less than three years may activate the license by 
submitting an application to the Board, documentation of the 
applicant's completion of 30 hours of continuing education 
approved by the Board during the preceding 24 months, and 
payment of the current license renewal fee. 

(b) A nursing home administrator whose license has been 
inactive for less than five years but more than three years 
may activate the license by providing the items in Paragraph 
(a) of this Rule and, in addition, by successfully completing 
the state examination. 

(c) A previously licensed nursing home administrator 
whose license has been inactive for a period exceeding five 
years must shall comply with all the requirements for 
licensure in this Chapter. 

Statutory Authority G.S. 90-280; 90-285; 90-286. 

SECTION .0300 - REINSTATEMENT 

^ma .0301 RESTORATION AND 

REINSTATEMENT OF LICENSE 

(a) A license may be restored reinstated, for good cause, 
after a period of two years after revocation by the Board in 
its discretion. Good cause means that the applicant is 
completely rehabilitated with respect to the conduct which 
was the basis of the discipline. Evidence of such rehabilita- 
tion shall include evidence that: 



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PROPOSED RULES 



(1) such person has not engaged in conduct during the 
discipline period which, if the person had been 
licensed during such period, would have consti- 
tuted the basis for discipline under G.S. 90-285.1; 

£2] with respect to any criminal conviction which 
constituted any part of the previous discipline, the 
person has completed the sentence imposed, and 
is no longer on probation, whether supervised or 
unsupervised; and 

(3) restitution has been made to any aggrieved party. 

fb^ — If a oonviotion for which a lioono e is r e vok e d or 
suspended — is subsequently — reversed — on appeal — and the 
aoouscd acquitted, the accused's license shall bo restored. 

Statutory Authority G.S. 90-285. 

SECTION .0400 - DUPLICATE LICENSES 

T«W4 .0401 DUPLICATE LICENSES 
REQUIREMENTS 

(a) Upon receipt of satisfactory evidence that a license or 
certificate of registration has been lost, mutilated, or 
destroyed, the Board may issue a duplicate license or 
certificate of registration upon payment of a fee of teft 
dollars ($10.00) nventy five dollars ($25.00) . 

(b) If a licensee's name has legally changed from the 
name under which the individual was originally licensed by 
the Board, the licensee shall fiimish copies of the documents 
legally authorizing the name change, along with the twenty- 
five dollar ($25.00) fee, when requesting a duplicate 
certificate. 

Statutory Authority G.S. 90-280(d). 

SUBCHAPTER 37H - CONTINUING 
EDUCATION 

SECTION .0100 - CONTINUING 
EDUCATION REQUIREMENTS 

.0101 CONTINUING EDUCATION HOURS 
REQUIREMENT 

Every licensee shall document successful completion of at 
least 30 hours of approved continuing education for each 
biennial period of registration. 

Statutory Authority G. S. 90-285. 

rMM .0102 CONTINUING EDUCATION 
PROGRAMS OF STUDY 

(a) The Board shall certify and administer courses in 
continuing education for the professional development of 
nursing home administrators and to enable persons to meet 
the requirements of these Rules. It is the responsibility of 
the licensee to keep a record of his continuing education 
hours. Certified courses, including those sponsored by the 
Board, an accredited university, college or community 



college, associations, professional societies, or organizations 
shall: 

(1) contain a minimum of two classroom hours of 
academic work and not more than eight class- 
room hours within a 24-hour period; and 

(2) include instruction in the following general 
subject areas or their equivalents: 

(A) Resident Care Management; 

(B) Personnel Management; 

(C) Financial Management; 

(D) Environmental Management; 

(E) Regulatory Management; 

(F) Organizational Management. 

(b) Certified courses not administered by the Board shall: 

( 1 ) be submitted to the Board for approval at least 
30 days prior to the presentation of the program; 

(2) be accompanied with a fee of tv i 'ont)' five dollars 
($25.00) fifty dollars ($50.00) to cover the cost 
of reviewing and maintaining records associated 
with the continuing education program; and 

(3) be approved for a period of one year from the 
date of initial presentation. 

(c) Courses from an accredited university or community 
college shall meet all requirements as outlined in Paragraphs 
(a) and £b} of this Rule. A licensee submitting such courses 
for continuing education credit shall submit a copy of the 
final grade for said course work. Continuing education 
credit hours granted by the Board shall be the same as those 
granted by the institution. 

(d) Credit may be earned for participation in 
teleconferenced course only if there is a third party present 
to verify the licensee's attendance throughout the course. 
No credit can be earned for correspondence courses. 

(e) (e) The Board shall charge a fee pursuant to G.S. 90- 
280 for continuing education courses. 

Statutory Authority G.S. 90-278; 90-280; 90-285; 90-286. 

.«405 .0103 VERIFICATION OF 
ATTENDANCE 

Upon completion of a certified continuing education 
course, the sponsor of the course shall issue certificates of 
attendance to those who attend. The spxansor must shall also 
submit a roster of those who attend to the Board within ten 
days. It is the participant's responsibility as a licensed 
Nursing Home Administrator to maintain course certificates 
and submit copies with the biennial renewal fee. 

Statutory Authority G.S. 90-278; 90-285; 90-286. 

.0104 PRECEPTOR CREDIT 

A preceptor applying for renewal who has served as a 
preceptor for a North Carolina AIT within the previous two 
years may receive ug to six hours of continuing education 
credit at the rate of two hours per eight weeks of service as 
a preceptor. 



2080 



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PROPOSED RULES 



Statutory Authority G. S. 90-285. 

SUBCHAPTER 371 - PROFESSIONAL 
STANDARDS 

SECTION .0100 - INVESTIGATIONS 

.1122 .0101 INVESTIGATION: DISCIPLINE: 

AND CONTESTED CASE PROCEEDINGS 

(a) The Chairman of the Board shall d e signat e appoint a 
Professional Standards Committee comprised of another 
member of the Boards to assist the Board Executive Director 
and legal counsel, in dotormining to investigate the qualifica- 
tions of applicants and in det e rmining to review and investi- 
gate complaints, wh e n th e Board should take disciplinary' 
action against a person rogistored with tho Board. — The 
de s ignated mombor of tho Board, the Board Diroctor. or 
another non member d e signated by th e Board may inv e sti 
gat e olaimo made by applioonts and oomplainto mad e against 
those rogistored with tho Board to tho extent needed to malco 
a determination. 

(b) The Board Dirootor shall r e port d e t e rminations mad e 
by him and the d e signated mombor to th e BoardT which shall 
decide whether to grant or deny an application or whether, 
and what kind of, disciplinary action should be taken against 
a person registered with the Board. If the Board's action 
results in a contested case, the designated member who 
participated in the initial determination concemmg the 
applicant or registrant may not participate in tho contested 
oaso proc ee dings and may not participat e in making th e final 
decision in the cas e , in the investigation of the matter may 
not participate as a member of the hearing panel or in 
deliberation of the contested case. 

(c) The Professional Standards Committee shall recommend 
to the Board whether the allegations in any complaint 
against an applicant or licensee, if proven, would warrant a 
contested case proceeding pursuant to G.S. 150B-38 through 
150B-42. 

{«) {d) Under G.S. 150B-40(e), the Board may elects not 
to hear its contested cases and refers its contested cases to 
the Office of Administrative Hearings. That office makes 
a proposal for d e cision in a cas e , and th e Board mak es th e 
final d e cision. 

Statutory Authority G.S. 90-285; 150B-40(e). 



CHAPTER 40 - BOARD OF OPTICIANS 

Notice is hereby given in accordance with G.S. 
150B-21.2 that the North Carolina State Board of 
Opticians intends to amend rule cited as 21 NCAC 40 .0314. 

Proposed Effective Date: February 1 , 1996. 

A Public Hearing vv/7/ be conducted at 9:00 a.m. on 



December 18, 1995 at the State Board of Opticians, 222 
North Person Street, Raleigh. NC 27601. 

Reason for Proposed Action: To provide for the training 

of apprentices by establishing rwo curricula from which 
apprentices may choose. 

Comment Procedures: Interested persons may present 
statements, orally ami in writing, at the public hearing and 
in writing prior to the hearing by mail addressed to the State 
Board of Opticians, P.O. Box 25336. Raleigh. NC 
27611-5336. 

Fiscal Note: This Rule does not affect the expenditures or 
revenues of local government or state funds. 

SECTION .0300 - QUALIFICATIONS: 
APPLICATIONS: AND LICENSING 

.0314 APPRENTICESHIP AND INTERNSHIP 
REQUIREMENTS: REGISTRATION 

(a) Each apprentice or intern entering the apprenticeship 
or internship shall register with the Board and be issued a 
certificate of registration. Registration of the apprenticeship 
automatically expires on the first day of July of each year, 
and, in order for the apprenticeship to continue, registration 
must be renewed each succeeding July 1 until the appren- 
ticeship is completed. If the apprenticeship or internship is 
to be supervised by an ophthalmologist or optometrist, the 
supervisor shall provide a statement in which he agrees to 
abide by the same requirements as would an optician 
providing the same training. 

(b) Part-time work or work as an optical salesman or 
consultant shall not apply toward completion of apprentice- 
ship or internship. 

(c) An applicant, through appr e ntic es hip or int e rn s hip, 
shall hav e r e c e iv e d his training by working full tim e . The 
training as an apprentice or intern shall be full time, defined 
as a minimum of 35 hours per week, under the supervision 
of a licensed optician, ophthalmologist, or optometrist 
following a curriculum approved by the Board. 

(d) The curriculum for the apprentice shall include one of 
the following, as chosen by the a pprentice: 

(1) an optical curriculum certificate program pre- 
sented by a school of opticianry approved pursu- 
ant to 21 NCAC 40 .0312, or 

(2) the National Academy of Optician ry's home 
study career progression program. 

The classroom and laboratory time spent in the optical 
curriculum certificate program shall be credited as part of 
the a pprenticeship period and its minimum of 35 hours per 
week. Certification that the apprentice has completed and 
passed one of the programs shall be required. A pprentices 
registered with the Board on or before March l^ 1996. shall 
not be subject to the provisions of this Paragraph and may 
satisfy the a pprenticeship requirement by completing the 
training program in which they are then registered. 



10.I6C 



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November 15, 1995 



2081 



PROPOSED RULES 



(e) (d) No more than two persons, whether apprentices 
or interns or a combination, may be trained by an optician, 
ophthalmologist, or optometrist at the same time. 

(f) ^ An apprentice or intern shall be credited with 
training time only from the date of registration with the 
Board as an apprentice or intern. The apprenticeship or 
Internship may not be interrupted for more than 12 months 
at the time. 

(g) {f) When registering to serve a six month internship, 
the applicant must have completed the three and one-half 
years of apprenticeship as required by G.S. 90-240(a)(2) and 
(3) or have completed the course of training required by 
G.S. 90-240(a)(l). 

(g) TTio Board shall mako availabl e to apprentic e s a list of 
Board approv e d training oouro e s which th e Board r e oom 
mends that appronticcs take as being of aasistonco to thom 
in preparation for the examination for liconsuro. 

Statutory Authority G.S. 90-239: 90-240: 90-243: 90-249. 
****************** 



Fee-Based Practicing Pastoral Counselors is 1001 S^ 
Marshall Street, Suite ^^5, Winston-Salem, NC 27101, 

Statutory Authority G.S. 90-385(f); 90-385(e). 

SECTION .0200 - APPLICATION FOR 
CERTinCATION 

.0201 INFORMATION REQUIRED 

(a) Typed or printed Application form. 

(b) Typed or printed Documentation for Certification 
form. 

(c) Official graduate transcript(s) sent directly to the 
Board by the training institution(s). 

(d) Three completed reference forms from professionals 
who are familiar with the applicant's work. 

(e) Completed supervision reports from past and/or 
present supervisors. 

(f) Written evidence, transcripts or other document(s') 
evidencing satisfactory completion of a course of study in 
pastoral psychotherapy. 



CHAPTER 45 - EXAMESfERS OF FEE-BASED 
PRACTICING PASTORAL COUNSELORS 



Statutorx Authority 
387(b)(4). 



G.S. 90-385 (f); 90-387(a)(4); 90- 



Notice is hereby given in accordance with G.S. 
150B-21.2 that the North Carolina State Board of 
E.xaminers of Fee-Based Practicing Pastoral Counselors 
intends to adopt rules cited as 21 NCAC 45 .0101, .0201 - 
.0203. 0301 - .0303, 0401 - .0402. .0501. .0601, .0701. 
.0801 - .0802. .0901, and .1001. 

Proposed Effective Date: March 1 , 1996. 

A Public Hearing will he conducted at 10:30 a.m. on 
January 20. 1996 at F. Roger Page Business & Technology 
Center, 1001 S. Marshall Street, Suite §5, Winston-Salem, 
NC 27101. 

Reason for Proposed Action: Adopting rules pursuant to 
Article 26 (90-380 through 90-396) of the North Carolina 
General Statutes. 

Comment Procedures: Comments may be submitted in 
writing and addressed to: Robert E. Johnston, DST, Chair, 
NC State Board of Examiners of Fee-Based Praaicing 
Pastoral Counselors, 1001 S. Marshall Street, Suite §5, 
Winston-Salem, NC 27101. Comments will be received until 
the public hearing date on January 20, 1996. 

Fiscal Note: These Rules do not affect the expenditures or 
revenues of state or local government funds. 

SECTION .0100 - GENERAL PROVISIONS 

.0101 ADDRESS 

The mailing address for the North Carolina State Board of 



.0202 REVIEW PROCEDURE 

(a) A copy of the applicant's application, documentation 
for certification form, and all other required supporting 
documentation is mailed to aU Board members prior to the 
next scheduled meeting. Tlie Board then reviews the 
applicants application, documentation for certification form, 
and all other required supporting documentation at the next 
meeting. 

£bj If approved, the applicant is so informed and is given 
information regarding the exam. 

(c) If the credentials are unacceptable, the applicant is so 
informed and is given an explanation of the area(s) which 
are considered deficient. Applicants may remedy deficien- 
cies within one year from the date of notification of such 
without ha\'ing to reapply. 

£d] If a question arises during the review process regard- 
ing comments made by endorsers or supervisors, the Board 
will seek to resolve the question by communicating with the 
endorser or supervisor, or the Board may refer the matter 
to their legal counsel or to a member of the Board or 
employee of the Board for investigation. 

(e) If certification is denied, an explanation of the 
grounds for denial are given. Tlie applicant may at this 
time present additional uritten information in support of the 
application to be considered by the Board. 



Statutory Authority 
387(b)(4). 



G.S. 90-385 (f): 90-387(a)(4): 90- 



.0203 ISSUANCE OF CERTIFICATE 

An applicant who has met all of the requirements as a 
Fee-Based Practicing Pastoral Counselor or Fee-Based 



2082 



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PROPOSED RULES 



Pastoral Counseling Associate is issued a certificate. This 
certificate displays the applicant's name, date of certifica- 
tion, certification number, the signature of the current 
chairperson, and the official seal of the Board. 

Statutory Authority G.S. 90-385 (f); 90-387(a); 90-387(b). 

SECTION .0300 - EXAMINATION 

.0301 TYPES 

(a) The Board employs a written and oral examination to 
test an applicant's knowledge in the following areas: 
(1) Code of Ethics; 

Fee-Based Practicing Pastoral Counselors Certif- 
ication Act; 
Individual Pastoral Counseling and Psychother- 



£2} 
(3} 
£41 
£5} 



aexi 



Marriage, Family, or Group Counseling and 

Psychotherapy; 

Religion, Theology, and Ethics of Pastoral 

Counseling. 

(b) The written examination is customarily given annually 
on a selected date in tlie spring. A passing score will 
consist of 70% correct responses on the written exam. 

(c) The oral examination is administered to a pplicant 
during the next regularly scheduled Board meeting. A 
passing score on the oral examination is determined by a 
majority vote of the Board members present and voting. 



Statutory Authority G. S. 
387(b)(3). 



90-385(f); 90-387(a)(3): 90- 



.0302 REPORTING OF SCORES 

Each applicant for certification is informed in writing of 
his passage or failure on the Pastoral Counseling Certifica- 
tion Examination. Those who have not passed the examina- 
tion are informed of the policy regarding re-examination. 



Associates are required to submit an additional form 
documentating required supervision. 

Statutory Authority G.S. 90-3850; 90-389. 

.0402 SECOND NOTICE 

After the renewal date has passed, a second notice is sent 
to each delinquent individual, advising them that the renewal 
fee with the late fee is due. Failure to renew a certificate 
for a period of more than three months after the annual 
renewal date will result in suspension of the certificate. 

Statutory Authority G.S. 90-385(f); 90-389. 

SECTION .0500 - CONTEVfUING EDUCATION 

.0501 CONTINUING EDUCATION 
REQUIREMENTS 

(a) A form for continuing education requirements is 
mailed with the annual renewal form. Each Fee-Based 
Practicing Pastoral Counselor and Pastoral Counseling 
Associate must complete a total of 50 hours of continuing 
education in the following identified areas: 

(1 ) Category I ; Pastoral Theology; 

(2) Category II ; Clinical Theory and Practice; 

(3) Category III - Pastoral. Psychological and 
Psychiatric Diagnosis; 

(4) Category IV ; Consultation and Supervision; 

(5) Category V ; Books and Professional Journals; 

(6) Category VI ; Other. 

(b) Of the 50 hours of continuing education required, 20 
hours must be contact hours in either Category I ; Pastoral 
Theology. Category II ; Clinical Theory and Practice or 
Category III ; Pastoral, Psychological and Psychiatric 
Diagnosis. 

(c) A continuing education year is established as June \ 
to May 31 of the following year. 



Statutory Authority G. S. 
387(b)(3). 



90-385 (f): 90-387 (a)(3): 90- 



.0303 RE-EXAMINATION 

An applicant who has not passed the written/oral examina- 
tion is allowed to retake the examination provided at least 
six months has lapsed between the examinations and the 
a pplicant pays the required examination fee. 

Statutory Authority G.S. 90-385 (f); 90-387(a)(4)h: 90- 
387(b) (4)s. 

SECTION .0400 - CERTIFICATION RENEWAL 

.0401 CERTIFICATION RENEWAL FORM 

The renewal form is mailed in the spring of each year 
with renewal being on or before January 1_^ of the following 
year. The form asks for current home and business ad- 
dresses and telephone numbers. Pastoral Counseling 



Statutory Authority G.S. 90-385 (f); 90-389. 

SECTION .0600 - DEFINITIONS 

.0601 EQUIVALENCY 

(a) Although Article 26 makes reference to equivalencies 
regarding Clinical Pastoral Education. Ordination. Graduate 
Degrees in Pastoral Counseling, and full-time work as a 
rabbi, priest, minister or religious leader, the Board makes 
no generalized rules for equivalencies. The Board is 
dedicated to certifying competent pastoral psychotherapists 
in keepin g with strict standards and the Code of Ethics. 
Consequently, the Board encourages no short cuts to 
meeting the legislated standards. Equivalencies are the 
exception rather than the standard and are considered on a 
case by case basis. 

(b) Should a candidate choose to make a case for equiva- 
lent experience, education or training, the candidate should 
document a formal request to the Board. The Board will 



10:16C 



NORTH CAROLINA REGISTER 



November 15, 1995 2083 



PROPOSED RULES 



assign a Board member to meet with the candidate and 
review the request. The request will then be taken to the 
Board for either approval or disapproval. If approved, a 
specific set of guidelines for fulfilling equivalency will be 
established based on the applicant's particular experience, 
education and training. Should equivalency be considered, 
the onus for documentation will rest entirely with the 
candidate. Should equivalency not be granted, the candidate 
will be given consultation regarding how to fulfil the 
particular standard. 

Statutory Authority G.S. 90-385 (f); 90-387(a)(4)c,df,g; 90- 
387(a)(4)c.e/.h. 

SECTION .0700 - TEMPORARY 
CERTIFICATES 

.0701 ISSUANCE OF TEMPORARY 
CERTIFICATE 

The Board of Examiners will issue temporary certificates 
at no additional cost than that of customary fees at the time 
of application to the Board of Examiners for a temporary 
certificate. 

(1) A person who requests a temporary certification as 
a Fee- Based Practicing Pastoral Counselor or a 
Fee-Based Practicing Pastoral Counseling Associ- 
ate must: 

(a) Submit an application to take the next examina- 
tion offered by the Board and pay the non- 
refundable application fee. 

(h) Pay the non-refundable current examination fee 
for Fee-Based Practicing Pastoral Counselor or 
the non-refundable current examination fee for 
Fee-Based Practicing Pastoral Counseling Asso- 
ciate. 

(c) Complete all of the documentation for certifica- 
tion form and all other supporting documentation 
required by the Board for assessing whether the 
candidate is qualified to take the written and oral 
examination. 

(d) Be assigned a Board member to function as a 
liaison/presenter to the full Board and to the 
sub-committee assigned by the Board to review 
the request. 

(e) Meet with the liaison/presenter in an individual 
consultation prior to the meeting with the sub- 
committee. 

(f) Pass the multiple choice components of the 
Board's written examination which covers 
knowledge of Article 26 and The Code of Eth- 
ics. 

(g) Be interviewed by a sub-committee of the Board 
and be recommended by the sub-committee to 
the Board for a temporary certificate. 

(2) Temporary certificates are valid for no longer than 
one year and are automatically terminated at the 
time of the next examination given by the Board. 



Statutory Authority G.S. 90-385 (f); 90-384. 

SECTION .0800 - SUPERVISION 

.0801 APPROVED SUPERVISION 

(a) Any supervisor of a candidate for certification as a 
Fee-Based Practicing Pastoral Counselor or Fee-Based 
Pastoral Counseling Associate must give evidence of being 
certified or licensed as a Diplomate in the American 
Association of Pastoral Counselors (AAPC) or as an 
A pproved Supervisor in the American Association of 
Marriage and Family Therapy (AAMFT) or as a clinician 
and exp>erienced supervisor in an appropriate mental health 
discipline such as psychiatry or psychology. In addition, a 
supervisor must give certifiable evidence that he himself has 
received supervision in the particular psychotherapeutic 
focus which he purports to provide to the candidate. For 
example, an AAPC Diplomate who provides supervision in 
object relations marriage and family therapy to a candidate 
must himself have received certifiable supervision in object 
relations marriage and family therapy or a psychiatrist who 
provides supervision in in-depth self-psychology to a 
candidate must give certifiable evidence of himself having 
received such supervision. 

Qo) A N.C. State Certified Fee-Based Practicing Pastoral 
Counselor who is not otherwise certified or licensed as a 
supervisor may be recognized as providing approved 
supervision of candidates seeking certification as a Fee- 
Based Practicing Pastoral Counselor or as a Fee-Based 
Pastoral Counseling Associate upon satisfactory completion 
of the following requirements: 

( 1 ) Supervise under supervision by an approved 

supervisor a minimum of five supervisees: 

(A) At least three supervisees must be ordained 
ministers who intend to become certified 
pastoral counselors: 

(B) All five supervisees must receive a minimum 
of 30 hours of supervision while the supervisor 
under supervision must receive a minimum of 
50 hours of supervision: 

(i) The supervisor under supervision must 
receive a minimum of 30 hours of one to 
one supervision: 

(ii) The supervisor under supervision must 
submit seven copies of his current evalua- 
tions of the three taped pastoral counseling 
supervisees and seven copies of the self- 
evaluations of these pastoral counseling 
supervisees learning experiences during the 
supervisory process; 

(iii) Both the supervisor under supervision and 
the approved supervisor must give certifi- 
able evidence that they have received 
supervision in the particular psychothera- 
p>eutic focus which they purport to provide 
to the pastoral counseling supervisees: 
Supervisor of candidate supervisor must provide 



(2] 



2084 



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November 15, 1995 10:16C 



PROPOSED RULES 



(A) 



(Q 



evaluation to the Board of the candidate: 
Statement must include supervisory goals; 
Statement must include an assessment of the 
candidate's knowledge of and application of 
the theory of supervision; 
Statement must include an assessment of the 
candidate's supervision; 

(3) Candidate must submit copies of his current 
evaluations of two taped supervisees to the 
Board; 

(4) Candidate must submit copies of the self-evalua- 
tions of the two taped supervisees' learning 
experiences in pastoral counseling supervision to 
the Board; 

(5) Candidate supervisor must submit a statement of 
his theory of pastoral counseling supervision 
which is substantiated by his work with the five 
supervisees to the Board; 

(6) TTie candidate supervisor may be required to 
meet with the Board or its representatives before 
final recognition as an approved supervisor by 
the Board is recognized. 



Statutory Authority G.S. 
387(b)(4)h. 



90-385 (f); 90-387(a)(4)d; 90- 



.0802 TYPES OF SUPERVISION 

(a) An a pplicant who presents himself for certification as 
a Fee-Based Practicing Pastoral Counselor is required to 
have 250 hours of supervision of 1.375 hours of pastoral 
coimselLng. The expectation is that ordinarily these supervi- 
sory sessions shall occur on a weekly basis at which time 
the supervisee presents audio or video recordings of his 
work and that this work be accompanied by written clinical 
and theological assessments. The breakdown on types of 
supervision required to meet this requirement are as follows: 

(1) 75 hours ; Supervision of In-depth Psychother- 
apy (Defined as the same client with the same 
supervisor on a weekly basis); 

(2} 75 hours ; Super\'ision of a variety of cases; 

(3) 50 hours ; Supervision of Couples TTierapy; 

(4) 25 hours ; Supervision of Family TTierapy; 

(5) 25 hours ; Supervision of Group Therapy. 

(b) An applicant who presents himself for certification as 
a Fee-Based Practicing Pastoral Counseling Associate is 
required to have 125 hours of supervision of 375 hours of 
pastoral counseling. The applicant needs these supervisory 
hours predominately in Subparagraphs (a)( 1 ).(2) and (3) of 
those required for Fee-Based Practicing Pastoral Counselor. 

Statutory Authority G.S. 90-385 (f); 90-387(a)(4)d; 90- 
387(b)(4)h. 

SECTION .0900 - INDIVIDUAL 
PSYCHOTHERAPY EXPERIENCE 

.0901 REQUIREMENTS FOR INDIVIDUAL 



PSYCHOTHERAPY EXPERIENCE 

(a) In order to protect the public safety and welfare, an 
applicant for certification to engage in the practice of fee- 
based pastoral counseling and pastoral psychotherapy must 
engage in an in-depth psychotherapy or psychoanalysis as 
follows: 

(1) An applicant who presents himself for certifica- 
tion as a fee-based practicing pastoral counselor 
must engage in a personal in-depth psychother- 
apy or psychoanalysis of his intrapsychic and 
interpersonal psychodynamics for a minimum of 
100 consecutive hours with an appropriately 
certified or licensed psychotherapist or psycho- 
analyst. 

(2) An applicant who presents himself for certifica- 
tion as a fee-based practicing pastoral counseling 
associate must engage in a personal in-depth 
psychotherapy or psychoanalysis of his intrapsy- 
chic and interpersonal psychodynamics for a 
minimum of 50 consecutive hours with an 
appropriately certified or licensed psychothera- 
pist or psychoanalyst. 

(h) If after a failed oral examination the Board assesses 
that further in-depth psychotherapy or psychoanalysis is 
required in order to protect the public welfare and make 
ready the applicant for certification, the Board will docu- 
ment its requirement to the applicant as a condition for 
reapplication. 

Statutory Authority G.S. 90-385 (f): 90-381. 

SECTION .1000 - ETHICS 

.1001 CODE OF ETHICS 

The relevant Code of Ethics of the American Association 
of Pastoral Counselors (AAPC) are defined by the Board in 
accordance 
with the parameters of Article 26. 

Statutory Authority G.S. 90-3850: 90-390(a)(7). 

CHAPTER 46 - BOARD OF PHARMACY 



Notice is hereby given in accordance with G.S. 
150B-21.2 that the North Carolina Board of Pharmacy 
intends to anwiui rules cited as 21 NCAC 46 . 1204, .1317, 
.1401, .1505, .1601 - .1604, .1607, .1703, .2104, .2403, 
.2502, .2504, .2602, .2609; adopt rules cited as 21 NCAC 
46.1410 - .1417, .1810 - .1811. .2506, .2611; repeal rules 
cited as 21 NCAC 46 . 1402 - . 1404, . 1406, . 1408, .1701 - 
.1705, .1910. 

Proposed Effective Date: May 1. 1996. 



10:16C 



NORTH CAROLINA REGISTER 



November 15, 1995 



2085 



PROPOSED RULES 



A Public Hearing will be conducted at 10:00 a. m. on the 
following dates and locations: 

January 22, 1996 

Institute of Pharmacy 

109 Church Street 

Chapel Hill, North Carolina 

February 20, 1996 

Mountain Area Health Education Center 

Lecture Hall 

501 Biltmore Avenue 

Asheville, North Carolina 28801 

Reason for Proposed Action: 

21 NCAC 46 .1204 - to correct address for the Board office. 
21 NCAC 46 .1317 - to define certain terms used in the 
rules governing health care facilities. 
21 NCAC 46 .1401 - to require the registration and permit- 
ting of pharmacies located in health care facilities. 
21 NCAC 46 .1402 - .1404, .1406, .1408 - rules no longer 
necessary because Section revised. 

21 NCAC 46 .1410 - to specify requirements for personnel 
of a health care facility pharmacy. 

21 NCAC 46 .1411 - to specify responsibilities of the 
pharmacist manager of a health care facility pharmacy. 
21 NCAC 46 .1412 - to specify physical requirements for a 
health care facility pharmacy. 

21 NCAC 46 .1413 - to specify procedures for the safe 
du^tribution of drugs in a health care facility in the absence 
of the pharmacist. 

21 NCAC 46 .1414 - to specify procedures for drug and 
device distribution and control in a health care facility. 
21 NCAC 46 .1415 - to specify procedures for medication 
dispensing in health care facility emergency departments. 
21 NCAC 46 .1416 - to specify procedures for repackaging 
drugs within a health care facility for subsequent dispensing 
or administration. 

21 NCAC 46 .1417 - to allow the use of automated dispens- 
ing devices in institutional pharmacies with a pharmacy 
permit if the pharmacist manager has developed satisfactory 
procedures to assure safe and effective patient therapy. 
21 NCAC 46 .1505 - to delete laboratory work from the 
practical pharmacy examination and to add patient counsel- 
ing and drug utilization review to the practical pharmacy 
examination. 

21 NCAC 46 .1601 - to allow the Board to issue and renew 
multiple permits for pharmacies operating at one location 
and to specify requirements for such pharmacies. 
21 NCAC 46 .1602 - to change a requirement for license by 
reciprocity by requiring a score on an examination equiva- 
lent to the North Carolina examination which would qualify 
for licensure in North Carolina at the time of examination. 
21 NCAC 46 .1603 - to specify that a new permit is re- 
quired for a change of ownership of an established phar- 
macy which results in a change of more than 50 percent 
interest in the pharmacy, unless certain exemptions apply. 
21 NCAC 46 .1604 - to specify when a valid permit may be 



transferred and a new permit is not required. 
21 NCAC 46 .1607 - to allow the Board to take disciplinary 
action against the registration of an out-of-state pharmacy 
for failing to comply with G.S. 90-85. 21 A and to shorten the 
time periods the Board must wait before taking action on a 
negligence complaint against a registered out-of-state 
pharmacy after referring the complaint to the state where the 
pharmacy is located. 

21 NCAC 46 .1701 - .1705 - rules not mandated by Phar- 
macy Practice Act. 

21 NCAC 46 .1703 - Alternative I- to require that regis- 
tered nurses authorized to dispense drugs shall only dispense 
drugs listed in the written standing protocols approved and 
signed by both the supervising physician(s) and the regis- 
tered nurse and maintained in each approved practice site 
and to require that assistants to a physician authorized to 
dispense drugs shall be limited to the dispensing of drugs 
that are delegated by the supervising physician. 
Alternative 2- to require that registered nurses or assistants 
to a physician authorized to dispense drugs shall only 
dispense those drugs listed on the formulary approved by the 
Board. 

21 NCAC 46 .1810 - to specify that changes in prescription 
orders by anyone other than a prescriber constitutes the 
practice of pharmacy. 

21 NCAC 46 .1811 - to prohibit pharmacists from dispens- 
ing and permit holders from allowing pharmacists to 
dispense prescription drugs at such an excessive rate as to 
pose a danger to the public health or safety. 
21 NCAC 46 .1910 -form described no longer used. 
21 NCAC 46 .2104 - to specify that a committee on nomina- 
tions shall nominate eligible candidates for each position to 
be filled on the Board and the device and medical equipment 
subcommittee. 

21 NCAC 46 .2403 - to add that vitamin and mineral 
supplements may be dispensed by registered nurses in local 
health department clinics. 

21 NCAC 46 .2502 - to allow the Board, in any Board 
proceeding, to consider compliance or noncompliance with 
the reporting requirements of Paragraph (k) of this Rule as 
an aggravating or mitigating factor. 

21 NCAC 46 .2504 - to specify patient counseling require- 
ments for inmates. 

21 NCAC 46 .2506 - to specify requirements to be com- 
pleted prior to granting a pharmacist authorization to 
administer drugs. 

21 NCAC 46 .2602 - to delete an incorrect statutory 
citation. 

21 NCAC 46 .2609 - to require rehabilitation equipment 
suppliers to maintain liability insurance of at least one 
million dollars worth of coverage. 

21 NCAC 46 .2611 - to set out requirements for medical 
equipment suppliers. 

Comment Procedures: Persons wishing to present oral 
data, views or arguments on a proposed rule or rule change, 
may file a notice with the Board at least 10 days prior to the 



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PROPOSED RULES 



public hearing at which the person wishes to speak. 
Comments should be limited to 10 minutes. The Board's 
address is Board of Pharmacy, P.O. Box 459, Carrboro, NC 
27510-0459. Written submission of comments or argument 
will be accepted at any time up to and including March 1, 
1996. 

Fiscal Note: These Rules do not affect the expenditures or 
revenues of local government or state funds. 

SECTION .1200 - ORGANIZATION OF THE 
BOARD 

.1204 OFFICE OF THE BOARD 

The office of the Board is located at 602 H Jonos Fony 
Road, Chapol Hill Carrboro Plaza Shopping Center. Hwy. 
54 Bypass. Suite 104C. Carrboro . North Carolina. Its 
mailing address is Post Office Box H^ 459. Carrboro, North 
Carolina 27510 -0459 . 

Statutory Authority G.S. 90-85.6. 

SECTION .1300 - GENERAL DEFTNTTIONS 

.1317 DEFTNTTIONS 

The definitions of various terms used in these Rules are 
found in G.S. 90, Article 4A, and as follows: 

(1) Approved School or College of Pharmacy. A 
school or college of pharmacy accredited by the 
American Council on Pharmaceutical Education, 
or a foreign school with a professional pharmacy 
degree program of at least five years approved by 
the Board. 

(2) Auxiliary Drug Inventory. A secure, segregated, 
supplementary source for drugs to be used solely 
for the purpose of providing adequate drug avail- 
ability when the pharmacy is closed or the phar- 
macist is unavailable. 

(3) Board. As defined in G.S. 90-85. 3(b). 

(4) Emergency Drugs. Those drugs whose prompt 
use and immediate availability are generally 
regarded by physicians as essential in the proper 
treatment of unforeseen adverse changes in a 
patient's health or well-being. 

(5) Executive Director. The Secretary-Treasurer and 
Executive Director of the Board. 

(6) Graduate of an Approved School or College of 
Pharmacy. A f>erson who has received an under- 
graduate professional degree in pharmacy from an 
approved school or college of pharmacy, or a 
person who has graduated from a foreign profes- 
sional school of pharmacy and has successfully 
completed the Foreign Pharmacy Graduate Equiv- 
alency Examination offered by the National Asso- 
ciation of Boards of Pharmacy and the Test of 
English as a Foreign Language. 

(7) Indulgence in the Use of Drugs. The use of 



(8) 



(9) 



(10) 
(11) 



(12) 
(13) 



(14) 
(15) 



(16) 

(17) 
(18) 



(19) 



narcotic drugs or other drugs affecting the central 
nervous system or the use of intoxicating bever- 
ages to an extent as to deprive the user of reason- 
able self-control or the ability to exercise such 
judgment as might reasonably be expected of an 
average prudent person. 

Institutional Pharmacy. A pharmacy maintained 
in a hospital, clinic, nursing home, rest home, 
sanitorium. non-federal governmental institution, 
industrial health facility, or other like health 
service under the supervision of a pharmacist; or 
the central area in a hospital, clinic, or other 
health care facility where drugs are procured, 
stored, processed, or issued, or where pharmaceu- 
tical services are performed. 
Limited Service Pharmacy Permit. A pharmacy 
permit issued by the Board to an applicant that 
wishes to render in an institutional setting pharma- 
ceutical services not limited to scope and kind but 
to time and conditions under which such services 
are rendered. 

Pharmacist. Any person within the definition set 
forth in G.S. 90-85. 3(p), including any druggist. 
Pharmacist-Manager. The person who accepts 
responsibility for the operation of a pharmacy in 
conformance with all statutes and regulations 
pertinent to the practice of pharmacy and distribu- 
tion of drugs by signing the permit application, its 
renewal or addenda thereto. 
Pharmacy. Any place within the definition set 
forth in G.S. 90-85. 3(q), including any apothecary 
or drugstore. 

Pharmacy Intern. Any person who is duly regis- 
tered with the Board under the internship program 
of the Board to acquire pharmacy experience or 
enrolled in approved academic internship pro- 
grams. A pharmacy intern working under a 
pharmacist preceptor or supervising pharmacist 
may, while under supervision, perform all acts 
constituting the practice of pharmacy. 
President. The President of the Board. 
Two Years College Work. Attendance at a 
college accredited by a recognized accreditation 
agency for two academic years of not less than 
eight and one-half months each and the completion 
of work for credit leading to a baccalaureate 
degree or its equivalent and that would permit the 
student to advance to the next class. 
Undergraduate Professional Degree in Pharmacy. 
A B.S. or Pharm. D. degree. 
Vice-President. The Vice-President of the Board. 
Ambulation Assistance Equipment. Devices that 
aid in walking, excluding canes, crutches, and 
walkers. 

Diagnostic equipment. Equipment used to record 
physiological information while a person goes 
about normal daily living or while asleep in order 



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PROPOSED RULES 



to document a disease process. EPTs, thermome- 
ters, and cholesterol equipment are not included as 
diagnostic equipment. 

(20) HMES. Home medical equipment supplier. 

(21) Mobility equipment. Devices that aid a person in 
selfmovement, other than walking, including 
manual or power wheelchairs and scooters. 

(22) Oxygen and respiratory care equipment. Equip- 
ment or devices used to administer oxygen or 
other legend drugs, maintain viable airways and/or 
monitor cardio-respiratory conditions or events, 
including, but not limited to, compressed medical 
gases: oxygen concentrators: liquid oxygen: 
nebulizers: compressors: aerosol therapy devices; 
portable suction machines: nasal continuous 
positive airway pressure (CPAP) machines: Bi- 
phasic positive pressure devices (BiPAP): infant 
monitors, such as apnea monitors and cardio- 
respiratory monitors: positive and negative pres- 
sure mechanical ventilators: and pulse oximeters. 

(23) Place of residence. Any place used as an individ- 
ual's temporary or permanent home. 

(24) Rehabilitation Services. Services and equipment 
required to maintain or improve functional status 
and general health as prescribed by the physician 
which are uniquely specified for each individual's 
lifestyle. The people involved in this process 
include the patient, caregiver, physician, therapist, 
rehabilitation equipment supplier and others who 
impact on the uidividual's life style and endeavors. 

(25) Rehabilitation environmental control equipment. 
Equipment or devices which permit a person with 
disabilities to control his or her immediate sur- 
roundings. 

(26) "Health Care Facility Pharmacy" means a phar- 
macy maintained in a hospital, clinic, nursing 
home, rest home, sanitarium, non-federal govern- 
mental institution, industrial health facility, or 
other like health service under the supervision of 
a pharmacist: or the central area in a hospital, 
clinic, or other health care facility where drugs 
are procured, stored, processed, or issued, or 
where pharmaceutical services are performed. 

(27) "Medication Administration Record" means a 
record of drugs administered to a patient. 

(28) "Medication Order" means an order for a pre- 
scription drug or other medication or a device for 
a patient from a person authorized by law to 
prescribe medications. 

(29) "Patient Medication Profile" means a list of all 
prescribed medications for a patient. 

(30) "Signature" means a written or electronic signa- 
ture or computerized identification code. 

(31) "Drug review" or "Pharmaceutical care assess- 
ment" means an onsite review of a patient's or 
resident's record by a licensed pharmacist that 
involves interpretation and evaluation of the drug 



therapy and other pharmaceutical care services to 
achieve intended medication outcomes and mini- 
mize negative effects of drug therapy. 
(32) "Consultant pharmacist" means a licensed pharma- 

cist who provides pharmaceutical care that is 
primarily directed in the area of consultation to 
health care professionals regarding medication and 
treatment regimens, or drug reviews, to one or 
more of the following licensed facilities: nursing 
facilities, including those operated by a hospital or 
combination facilities; assisted living: family and 
adult care homes: intermediate care facilities for 
the mentally retarded: and group home for devel- 
opmental disabled adults. 

Statutory Authority G.S. 90-85. J; 90-85.6; 90-85.8; 90- 
85. 13; 90-85. 14; 90-85. 15; 90-85.21; 90-85.38; 90-85.40. 

SECTION .1400 - HEALTH CARE FACILITIES 

.1401 REGISTRATION AND PERMITS 

(a) Registration Required. All places providing services 
which embrace the practice of pharmacy shall register with 
the North Carolina Board of Pharmacy as provided in 
General Statutes 90-85.21 and acquire a permit to do so. 
Application for such registration and permit shall be on 
forms provided by the Board. If the Board is satisfied that 
proper facilities and adequately trained and properly licensed 
personnel have been obtained which will assure compliance 
with all laws regulating the manufacture and distribution of 
drugs, the practice of pharmacy and the rules of the Board, 
a permit shall be issued by the Board attesting such registra- 
tion. 

fb) Exemptions. Nothing in these rules shall be construed 
to require the registration with the Board of those hoopitalo 
or other health care facilities in which there occurs only the 
administration of drugs. 

(c) Separate Registration Required. The dispensing of 
drugs from separate locations within on institution, owned 
by a health care facility, such as satellite pharmacies, 
outside clinics, health maintenance organizations, or 
physician's offices owned by the health care facility H»y 
shall require separate registration, r e gistration. — A s e parat e 
registration and p>ermit \s roquirod for any pharmacy within 
an institution if any one of the following criteria exists: 

(1) The drugs dispensed at the location are ordi- 
narily and customarily obtained from a source 
outside of the institution: health care facility; 

(2) The pharmacist manager is controlled and super- 
vised from a source other than the inotitutional 
health care facility pharmacy; or 

(3) The routine activity at the location is dispensing 
drugs to outpatients. 

(d) Any pharmacy that provides compounding or dispens- 
ing services to one or more health care facilities for individ- 
ual patient administration bearing any labeled name other 
than that under which it is registered shall require a separate 



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PROPOSED RULES 



registration. 

(e) <d) — Institutional pharmaoi e s Health care facilities 
which do not have a pharmacy permit are required by law 
to secure their pharmaceutical services from a pharmacist 
holding a current license from the Board. 

Statutory Authority G.S. 90-85.2; 90-85.6; 90-85.21; 90- 
85.32. 

.1402 SUPERVISION OF DRUGS IN AREAS 
OUTSIDE OF PHARMACY 



to implomont the roquiromonto of thia Rule. 
(o) Wh e n th e pharmaoiot is absent from the inotitution, on 
authoriz e d poroon. in aooordano e with written polici e s and 
procoduros of tho institution, may obtain from an institu 
tional pharmacy invontor)' of drugs, a drug or medication 
noooooar}' to administ e r to a bona fid e pati e nt in oanying out 
treatm e nt and medication ord e rs ao proscrib e d by a lic e ns e d 
proscribor. when s uch drug is not available in floor supplies 
to moot tho immcxiiato nood. — This authorized person shall 
l e av e in th e pharmacy, on a suitabl e form, a record of any 
drugs r e mov e d, showing th e name of th e pati e nt, tho name 



Drugs and dovioos coruioctod with pharmacy practice of tho drug, tho dosage size, tho amount token, tho date and 



located in tho institution shall bo under tho supop - 'ision of 
tho pharmacist e mploy e d or oth e rwis e e ngag e d by th e 
institution. 

Statutory Authority G.S. 90-85.6; 90-85.21. 

.1403 INSTITUTIONAL PHARMACY DRUG 

INVENTORIES AND EMERGENCY KITS 



time, and tho signature of tho authorized porson. — A sy s tem 
shall b e d e v e lop e d by th e pharmacist manager and us e d by 
all authoriz e d p e rsons to document th e e ntr)'. — Such records 
shall bo kopt for three yoar s . — This Paragraph shall not 
preclude tho use of technical personnel approved by tho 
pharmacist manager from b e ing pr e s e nt In th e pharmacy at 
oth e r than r e gular s e P i 'ic e hours and p e rforming c e rtain 
clerical, repackaging and distributive functions in connection 
(a) — Auxiliary' drug inventories are intondod as a supple with a s^'stem of institutional drug distribution according to 



montaiy sourc e for drugs wh e n th e pharmacy is clos e d or 
th e pharmacist is not availabl e . Em e rg e ncy drugs kits ar e 
intondod for use in a life threatening crisis, not as convo 
niont supply. Acquiring drugs from the pharmacy when tho 
pharmacy is not open as sp e cifi e d in this Rule should b e 
raro and occur only if th e drug d e sir e d is not availabl e in 
tho auxjliar)' drug inventor)'. — Tho use of auxiliary ' drug 
invontorios is required to provont frequent entries into tho 
pharmacy by non pharmacy p e rsonn e l. 

(b) Except as provid e d in (o) of this Rul e , only a pharma 
cist may have accoas to tho institutional pharmacy inventory 
of drugs. — Only authorized persons, as determined by tho 
pharmacist manager, may obtain acc e ss to th e auxiliary' drug 
inventor)' by k e y or combination look, and th e inv e ntory 
shall be sufficiently socuro to deny access to unauthorized 
persons. Tho pharmacist manager shall, in connection with 
lh« — appropriat e — committ ee — of th e — institution, — d e v e lop 
inv e ntor)' listings of thos e drugs to b e includ e d in such 
invontorios and shall insure that: 



writt e n polici e s and proc e dur e s if th e drug s so handl e d are 
not p e rmitt e d to l e av e th e pharmacy until all work so 
porformod has boon chockod and certified as being correct 
by tho pharmacist - — This Paragraph shall not preclude tho 
us e of an e m e rg e ncy drug kit or auxiliar)' drug inv e ntor)' a s 
provid e d for in this Rule. 

(4) — Emergency drugs shall bo stored in a oontainor 
socurod by a non reusable, oasily brealcablo seal, horoinaftor 
r e f e rr e d to as th e " e m e rgency drug kit." — Th e cont e nts of 
th e e m e rg e ncy drug kit s hall b e d e t e rmin e d by th e pharmacy 
and therapeutics committco or equivalent, and controlled 
substances in Schedules II through V shall not bo allowed 
e xc e pt as provid e d in Paragraph (5) of this Rul e . — The 
e m e rg e ncy drug kit shall be p e riodically r e vi e w e d and 
examined by a pharmacist not los s than quarterly. — The 
contents of tho omorgoncy drug kit shall bo in compliance 
with all applicabl e f e d e ral, state and local laws, rule s and 
r e gulations. — A curr e nt list of th e cont e nt s s hall b e attach e d 
to tho oxtorior of tho omorgoncy drug kit. — Storage and use 



f4-) Tho listed drug s are available thoroin and arc of tho emergency drug kit shall comply with tho following: 



prop e rly lab e l e d; 
(3^ Only pr e packag e d drugs are availabl e th e r e in, in 

amount s sufficient for immediate therapeutic 

requirements; 
(39 When e v e r access to s uch inv e ntor)' shall hav e 

boon gain e d, writt e n lic e ns e d pr e sorib e r's ord e rs 

and proofs of use. if applicable, arc provided; 
(4) Aftor each use of the auxiliar)' drug inventory, 

th e pharmacy shall b e notifi e d in accordance 

with writt e n polici e s; 
{%) Tho contents of the auxiliar)' drug inventor)' are 

chocked by an authorized por s on in accordance 

with writt e n polici e s and procedur es — of th e 

institution and inv e ntori e d at l e ast monthly by 

pharmacy personnel; and 
(6^ Written policies and procedures are ostablishod 



fl^ Storag e of th e e m e rg e ncy drug kit shall b e in a 

se cur e . — r e adily available location und e r th e 
9upor>'i3ion of authorized persons. 

(3) After the emergency drug kit is used and its soal 

brok e n, th e pharmacy must b e notifi e d in acoor 
done e with writt e n polici e s and proc e dur es of th e 
in s titution. — Tho Icit shall bo replenished by an 
authorized porson in accordonco with written 
polici e s and procedur e s of th e institution. — Drugs 
and oth e r article s us e d in th e r e stocking and 
roscoling of tho omcrgency drug kit shall bo 
under tho supervision of tho phormocist. — The 
e mergency drug kits shall b e ch e ck e d by on 
authoriz e d p e rson in accordance with writt e n 
policies ond procedures of the institution. 

(5^ The supplier shall indicate on tho omorgoncy 



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November 15, 1995 2089 



PROPOSED RULES 



daig kit in a clearly visible place an expiration 
date which in no oqgo shall b e later than th e dat e 
of the firot it e m to e xpir e . 

(4) Itoma uood from the cniorgoncy drug kit shall bo 

entered on the pnitiont's clinical reoord according 
to the standard proc e dur e of th e institution. 
fe) — For th e purpos e of complying with stat e and f e d e ral 
law. emergency drugs that are controlled substances must bo 
stored m a separate emergency kit. — Such controlled sub 
stanc e s em e rg e ncy drug kit shall me e t all of the requir e 
mcntfl of this Rule applying to e m e rgency drug kits and. in 
addition, bo in compliance with the rules and regulations 
relati' i c to controlled substances emergency drug kits. 

Statutory Authority G.S. 90-85.6; 90-85.21. 

.1404 MEDICATION IN INSTITUTIONAL 
EMERGENCY DEPARTMENTS 

(a) In those hospitals having 2 ' 1 hour outpatient pharm aey- 
service, all drugs dispensed to outpatients including omer 
gency department patients must be dispensed by a phar aa- 

(V) — In tho se institutions not having 2 '1 hour outpati e nt 
pharmncy ser i 'icc. or those institutions having no outpatient 
pharmacy service, drugs disponood to emergency department 
pHitiento wh e n th e outpati e nt pharmacy s e nde e is clos e d shall 
follow this proc e dur e : 

f4-) All drugs shall be dispensed to a bonafide pa 

ticnt of the emergency department. 

(2) The pharmacist manag e r shall b e r e sponsible for 

dc i eloping and sup e rs'ising a syst e m of control 
and aeeountabiUty of all drugs administered in or 
dispensed from the emergency department. 

^ The institution's e m e rg e ncy departm e nt commit 

too (or like group or p e rson r e sponsibl e for 
policy in that department) in conjunction with 
the — pharmaci st — shall develop an emergency 
department formular)' or drug list of thos e drugs 
which may b e disp e nsed from th e e m e rg e ncy 
department for patients receiving care in that 
department. — This formulary' or drug list shall 
consist of drugs of the natur e and type to moot 
th e imm e diat e n ee ds of e m e rg e ncy d e partm e nt 
patienta. and quantities in each container should 
be limited to not more than a 2 4 hour supply. 

f4) Such drugs shall b e pr e packag e d — in suitabl e 

saf e t)' closur e contain e rs and shall be appropri 
atcly prelaboled (including necessar>' auxiliary' 
labels) by the pharmacist so as to provide for 
lab e l information n e c e ssar)' for us e as w e ll as 
oth e r information r e quir e d by law. 

f§^ The physician, registered nurse under physician 

sup>crvision. — or pwrson who is authorized — (© 
pr os cribe and disp e ns e drugs pursuant to G.S. 
90 1 8 .1 or 90 18.2 shall comply with all r e gula 
tions governing the dispensing of medications. 

^ A suitable and perpetual record of dispensing of 



those medications shall bo maintxiiiied. — ii© 
pharmacist shall verify' th e aocuraoy of thio 
r e cord at l e ast onc e a month. 

f?) TTio physician shall sign or countersign in tho 

modical record all orders for modications within 
72 hours of th e initiation of tho ord e r. 
fe^ — R e cords of controll e d substances administ e r e d ia 
emergency def>artmonts shall bo kept in a manner to assure 
the accountability of such drugs in tho institution. 

Statutory Authority G.S. 90-18.1; 90-18.2; 90-85.6. 

.1406 AUTOMATIC STOP ORDERS 

In e v e ry institution where inpati e nt s e rs'lc e s e xiot, if the 
pharmacy and th e rapoutico committ ee or its equivalent hao 
not adopted a pHalicy stating a maximum period of time for 
the administration of medication ordered without a specific 
duration, th e pharmacist manag e r shall d e t e rmine a maxi 
mum p e riod. 

Statutory Authority G.S. 90-85.2; 90-85. 3 (r); 90-85.6. 

.1408 INSTITUTIONAL DISCHARGE 
MEDICATION OPTION 

Patients in the process of discharge from an institution, or 
th e ir ag e nt, may rec e iv e initial suppU e s of prescription drugs 
pursuant to a duplicat e original ord e r, that could bo a 
photo copy, when a system is devised which meets tho 
following criteria: 
fi^ Tli e pati e nt receiving th e drug is a bonafide patient 

in th e proc e ss of discharge from th e institution or 

its clinics; 
{¥) The practitioner issuing the order has current staff 

privil e g e s at th e institution; 
(^9 Th e pati e nt V i 'ill rec e iv e th e original presonption to 

be Filled or refilled at tho pharmacy of their 

choice; 
f4^ The duplicate original ord e r, if us e d, is maintained 

on fil e in the institutional pharmacy for the statu 

torv' pKiriod and contains all items of information 

required for prescriptions under state and federal 

law and r e gulations; 
f§^ Tli e nam e of th e drug, brand or g e n e ric, which 

ever is actually disp>cnsed. date of dispensing. 

strength, quontit; ; ' and institution svith telephone 

numb e r is appropriately not e d on th e original 

prescription; and 
(6) No controlled substance is dispensed pursimnt to 

a duplicate original order. 

Statutory Authority G.S. 90-85.6; 90-85.32. 

.1410 PERSONNEL 

(a) The health care facility pharmacy must be directed by 
a professionally competent and legally qualified pharmacist, 
hereinafter referred to as the pharmaci st manager, who shall 
be responsible for meeting the requirements set forth by 



2090 



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PROPOSED RULES 



Federal and State law, this Section. 21 NCAC 46 .2502. 
and other applicable rules of the Board. The pharmacist 
manager shall be thoroughly familiar with the specialized 
functions of health care facility pharmacy practice. The 
pharmacist manager shall be an employee of the health care 
facility or contracted for by the health care facility in which 
the pharmacy is located. 

(b) The pharmacist manager shall be assisted by a 
sufficient number of pharmacists and supportive personnel 
as required to operate such pharmacy competently, safely, 
and to meet the needs of the patients of the health care 
facility. 

(U The pharmacist manager shall ensure that an 
adequate number of qualified and trained phar- 
macists are employed. The Pharmacist Manager 
shall develop and implement written policies and 
procedures to specify the duties to be performed 
by such pharmacists. 

(2) The Pharmacist Manager shall ensure that a 
sufficient number of qualified, trained, and 
adequately supervised supportive personnel are 
employed to provide technical services, as well 
as ensuring that all such functions and activities 
are performed competently, safely, and without 
risk of harm to patients. The relationship be- 
tween the supervising pharmacist and the sup- 
portive personnel shall be such that the pharma- 
cist is fully aware of and responsible for all 
activities involved in the preparation and dis- 
pensing of medications prior to release to the 
patient, including the maintenance of appropriate 
records. 

(3) Secretarial and clerical support shall be provided 
to assist with record keeping, report submission 
and other administrative duties. 

(c) After January \^ 1997, a consultant pharmacist must 
successfully complete an initial certification course for 
consultants which has been approved by the Board. Certifi- 
cation as a consultant with the Board is required to practice 
as a consultant pharmacist as defined in 2\_ NCAC 46 
.1317(32). 

(d) All consultant pharmacists must successfully complete 
a minimum 10 hour initial certification course approved by 
the Board for consultants that includes at least the following 
subject matters: 

(U regulation and laws, both state and federal 
pertaining to services provided by consul- 
tant pharmacists: 

£2} policy and procedures; 

£3) professional responsibilities; 

£4} drug review/pharmaceutical care assess- 
ment; 

(5) ethics in consultant pharmacy; and 

(6) disease state management including drug 
therapy and monitoring. 

(e) The consultant pharmacist must obtain not less than 10 
hours of continuing education credits through contact 



programs in any calendar year for recertification as defined 
in Rule .2201 of this Chapter. The programs for consultant 
recertification shall cover administrative, clinical, or 
regulatory topics related to consultant pharmacy. 



Statutory Authority G.S. 90-85.6; 90-85.21; 90-85.34. 

. 141 1 RESPONSffilLmES OF THE 
PHARMACIST MANAGER 

(a) The pharmacist manager shall establish written 
procedures for the safe and effective distribution of pharma- 
ceutical products. fVocedures shall be periodically reviewed 
to assure they reflect current practice in the facility. A copy 
of such procedures shall be available in the pharmacy. 

£b) The pharmacist manager shall be responsible for the 
safe and effective distribution, control, and accountability 
for drugs, including IV and irrigation solutions. The 
pharmacist manager may delegate responsibilities to other 
health care facility professional staff for ordering, adminis- 
tering , and accounting for pharmaceutical materials so as to 
achieve this purpose. Whenever there is a deviation from 
this Section, such action subjects the facility's pharmacy 
permit to action by the Board. In addition to 21 NCAC 46 
.2502, the pharmacist manager shall, at a minimum, be 
responsible for: 

(1) the compounding, admixture, sterilization, 
labeling, and dispensing of parenteral medica- 
tions in the health care facility, including rele- 
vant education and training of all pharmacy and 
nursing personnel involved in the preparation of 
parenteral medications; 
£2} the establishment of specifications or use of 
compendia specifications for procurement of all 
pharmaceuticals, including drugs, chemicals, and 
biologicals used in direct patient care, subject to 
a pproval of the a ppropriate committee of the 
health care facility; 
(3) participation in development and maintenance of 

a drug formulary for the health care facility; 
£4} participation in those aspects of pharmaceutical 
care that affect drug distribution and control; 

(5) preparing, packaging, compounding and labeling 
all drugs; 

(6) assuring that drugs are dispensed only by a 
pharmacist or other persons allowed by law to 
dispense; supportive pharmacy personnel are 
properly directed and supervised; 

£7} the development and implementation of policies 
and procedures to ensure that discontinued 
drugs; outdated drugs; drugs recalled; containers 
with worn, illegible, or missing labels; or prod- 
ucts that are otherwise unusable are returned to 
the pharmacy for proper disposition in a timely 
manner; 

(8) maintaining access to patient records and reports 
as are required to ensure patient health, safety 
and welfare. These records and reports shall 



10:16C 



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November 15, 1995 



2091 



PROPOSED RULES 



include, at a minimum: 

(A) medication administration records: 

(B) refxirts of susf)ected adverse dru^ reactions and 
medication variances; 

(C) inventories of night cabinets and emergency 
kits/crash carts; 

(D) the current formulary of drugs; 

(E) a biennial controlled substances inventory; 

(F) alcohol and flammable material reports as 
required by law when such material is pro- 
cured by the pharmacy; and 

(G) such other records and reports as may be 
required by law and rules of the Board of 
Pharmacy; 

(9) developing and implementing policies and proce- 

dures that effectively address the safeguarding 
and handling of all drugs and devices, as defined 
in G.S. 90-85. 3(e), throughout the health care 
facility, or other locations where legend drug 
products are transferred, including medications 
that originate from a source outside the facility. 
When discrepancies in controlled substance 
counts are identified: 

(A) they shall be reviewed, and when appropriate, 
a report of this action, including steps taken to 
prevent recurrence, where possible, shall be 
provided to the pharmacy manager within 24 
hours of occurrence. This report shall be 
maintamed by the Pharmacist Manager; and 

(B) recurring losses or mishandling of significant 
quantities of controlled substances shall be 
immediately reported to the Board and the 
Drug Enforcement Administration. 

(10) maintaining policies and procedures which 

require at least monthly inspections of patient 
care units or other areas of the health care 
facility where medications are dispensed, admin- 
istered, or stored. A record of such inspections 
shall be maintained to verify that: 

(A) antiseptics, other drugs for external use, and 
disinfectants are stored separately from internal 
and injectable medications; 

(B) drugs requiring special conditions for storage 
to assure stability are properly stored; 

(C) all necessary and required security and storage 
standards are met; 

(D) outdated or otherwise unusable drugs are 
identified, their distribution and administration 
prevented, and such are returned to the phar- 
macy for proper disposition; 

(E) the distribution and administration of con- 
trolled drugs are adequately documented by 
pharmacy, nursing, and other invoked services 
or personnel and are m accordance with appli- 
cable law; 

(F) any investigational drugs in use are properly 
stored, distributed, and controlled; 



(G) emergency drugs, as approved by the medical 

staff, are in adequate and proper supply in the 

pharmacy or other designated areas of the 

health care facility; 

(H) the verification of auxiliary stocks' inventory 

lists and accountability; and 
(I) metric-apothecaries' weight and measure 
conversion tables and charts are available. 
(in all drugs and devices dispensed by the pharmacy 
as defined in G.S. 90-85. 3(e) which are ordered 
for and used within the health care facility, 
including drug samples and patient's personal 
medications. 

Statutory Authority G.S. 90-85.6; 90-85.21; 90-85.32; 90- 
85.34. 

.1412 PHYSICAL REQUIREMENTS 

A health care facility pharmacy shall have within the 
facility it serves sufficient floor space allocated to it to 
ensure that drugs are prepared in sanitary, well lighted and 
enclosed places. It shall have sufficient equipment and 
physical facilities for proper compounding, dispensing, and 
storage of drugs, including parenteral preparations. In 
addition to the requirements of 2\_ NCAC 46 .1600, the 
equipment and physical facilities shall include the following; 

(1) Compounding and dispensing areas; 

(2) Physically separate parenteral solution additive 
area as described in Section .2800 ; Sterile Paren- 
teral Pharmaceuticals of this Chapter; 

(3) Receiving and storage areas; 

(4) Packaging and repackaging areas; 

(5) Office space sufficient to allow for administrative 
functions without interference with the safe com- 
pounding and dispensing of medications and 
security of the pharmacy; 

(6) Storage. All drugs shall be stored in designated 
areas within the pharmacy or decentralized phar- 
macy sufficient to provide proper sanitation, 
temperature, light, ventilation, moisture control, 
segregation, and security. Controlled substances 
shall be stored in compliance with applicable 
Federal and State laws and regulations. Alcohol 
and flammables shall be stored in areas that shall, 
at a minimum, meet basic local building code 
requirements for the storage of volatile substances 
and such other laws, ordinances, or regulations 
that may apply; 

(7) Security. All areas occupied by the health care 
facility pharmacy, to include auxiliary drug sup- 
plies and unit dose carts, shall remain secured at 
all times. 

Statutory Authority G.S. 90-85.2; 90-85.6; 90-85.21; 90- 
85.34. 

.1413 ABSENCE OF PHARMACIST 



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NORTH CAROLINA REGISTER 



November 15, 1995 10:16C 



PROPOSED RULES 



(a) When a health care facility pharmacy is iiot open 24 
hours a day, seven days a week, arrangements shall be 
made in advance by the pharmacist manager for provision 
of drugs to the medical staff and other authorized personnel 
of the health care facility after normal working hours by use 
of a night drug cabinet drug inventory as described in this 
Rule. In addition, one or both of the options in Subpara- 
graphs (a)(1) or £2J of this Rule should be used to assure 
access to drugs in the absence of a pharmacist: 

(1) an "on call" pharmacist accessible to the facility 
during all absences; 

(2) a contractual arrangement with another health 
care facility, pharmacy, or pharmacist. 

(b) A suitable and perpetual record of drugs or devices 
removed from night drug cabinets shall be maintained in the 
health care facility. The pharmacist manager shall periodi- 
cally verify the accuracy of the records. 

(c) Supportive personnel a pproved by the pharmacist 
manager may be present in the pharmacy at other than 
regular service hours to perform certain clerical, repackag- 
ing and distributive functions according to written policies 
and procedures if the drugs so handled are not permitted to 
leave the pharmacy until all work so performed has been 
checked and certified as being correct by the pharmacist. 

(d) Drugs shall be distributed, in limited quantities, within 
a health care facility for the purpose of establishing and 
maintaining a supplementary inventory in night drug 
cabinets for use only when the pharmacy is closed. The 
Pharmacist Manager shall, in connection with the appropri- 
ate committee of the health care facility, develop listings of 
those drugs to be included in such inventories. The pharma- 
cist manager shall, at a minimum, be responsible to assure 
that: 

(1) access to such drug inventories be by locked 
cabinet(s) or other enclosure(s) constructed and 
secured to deny access to unauthorized persons; 

(2) only specifically authorized personnel, as indi- 
cated by written policies and procedures, shall 
obtain access to the drug inventories; 

(3) only pre-packaged drugs are available therein, in 
amounts sufficient for immediate therapeutic 
requirements. Drugs should be properly la- 
beled, with drug name, strength, lot number and 
expiration date. Whenever access to such 
inventory is gained, a copy of the record of 
withdrawal and a copy of the written order for 
new drug orders shall be provided to the phar- 
macy. The record of withdrawal shall contain 
the following: 

(A) the date of removal of the drug; 

(B) the name, strength, dosage form, and quantity 
of drug removed; 

(C) the name of the patient for whom the drug was 
ordered; 

(D) the name or identification code of the autho- 
rized personnel removing the drug from inven- 
tory; 



(4) all drugs are inventoried no less than monthly. 
A system of accountability must exist for all 
drugs contained therein; and the purity, potency, 
and Integrity, of the drug shall be preserved; and 

(5) written policies and procedures are established to 
implement the requirements of this Rule. 

Statutory Authority G.S. 90-85.2; 90-85.6; 90-85.21; 90- 
85.32. 

.1414 DRUG DISTRIBUTION AND CONTROL 

(a) MEDICATION ORDERS. 

(1) Medications shall be dispensed from a health 
care facility pharmacy only upon receipt of a 
medication order. A mechanism shall be in 
place to verify the authenticity of the medication 
order. Allowable exceptions to this Rule (e.g., 
telephone, or verbal orders) shall be put in 
writing immediately and signed by the prescriber 
on the nurse's or pharmacist's record of these 
orders within 48 hours of initiation. Exceptions 
to this Rule are further defined in 21 NCAC 46 
■1413. 

(2) All medication orders shall be received and 
reviewed by a pharmacist and, at a minimum, 
shall contain the: 

(A) patient's name, location and other necessary 
identifying information; 

(B) medication name, strength, dosage form, route 
of and directions for administration. In the 
absence of a facility pxjlicy on interpretation of 
routes of administration, the route of adminis- 
tration must be specified; 

(C) date the order was written; and 

(D) prescriber's signature (may include electronic 
signature or verification). 

(3) Medication orders for patients requiring continu- 
ous drug therapy shall be entered into a patient 
medication profile, either manual or automated. 
The medication profile shall, at a minimum, 
contain the: 

patient's name, location and important clinical 
data such as age, height, weight, sex, aller- 
gies, and additional information as appropriate; 
medication name, strength, dosage form, route 
of and directions for administration; 
medication start date; 
medication discontinuance date; and 
identification of pharmacist entering the medi- 
cation order. 

(4) Abbreviations used in medication orders shall be 
agreed to. jointly adopted, and published by the 
medical, nursing, pharmacy, and medical re- 
cords staff of the health care facility. 

(5) Medication orders shall be reviewed and discon- 
tinued or suspended, if appropriate, when the 
patient goes to the delivery room or operating 



(Al 



mi 

£C1 
£E1 



10:16C 



NORTH CAROLINA REGISTER 



November 15, 1995 2093 



PROPOSED RULES 



room. A method to protect the patient from 
indefinite, open-ended drug orders must be 
provided. The prescriber shall be notified in a 
timely mamier that the order shall be stopped 
before such action takes place by one or more of 
the following: 
(A) the routine monitoring of patient's drug ther- 
apy by a pharmacist: 
{B} a health care facility-approved, drug class- 
specific, automatic stop order policy covering 
those drug orders not specifying a number of 
doses or duration of therapy: and/or 
(C) a health care facility-approved automatic 
cancellation of aU drug orders after a predeter- 
mined time interval unless rewritten by the 
prescriber. 
(6) The health care facility shall periodically creden- 
tial practitioners who are authorized by law to 
prescribe medications for prescribing privileges 
within the facility, 
(b) DEVICES. Devices shall be dispensed in accordance 
with Section .2600 of this Chapter. 

(cj DISPENSING. In health care facilities with a 24 hour 
pharmacy, all dispensing shall be done by a pharmacist. In 
the absence of a pharmacist. Rule .1413 of this Section shall 
apply. 
(dl LABEUNG. 

(1) All drugs dispensed from within a health care 
facility pharmacy shall be adequately labeled and 
identified up to the point of administration; 

(2) Whenever a drug is added to a parenteral admix- 
ture, it shall be labeled with a distinctive supple- 
mentary label indicating the name and amount of 
the drug added, expiration date, and expiration 
time, if applicable. For admixtures prepared 
outside the pharmacy, the pharmacy manager is 
responsible for developing policies and proce- 
dures for preparation and labeling. 

(e} PARENTERAL MEDICATIONS. The dispensing of 
parenteral medications shall be done in accordance with 
Section .2800 of this Chapter ; Sterile Parenteral 
Pharmaceuticals. 

(f) Patient Care Unit Medication Inventories. 



m 



Non-controlled drugs may be stocked in limited 
quantities on a health care facility patient care 
unit when immediate availability is deemed 
essential to the patient's health and well-being. 
The Pharmacist Manager shall be responsible for 
developing an approved drug list for each health 
care facility location. Drugs shall be stored in 
a manner that prevents unauthorized access and 
shall only be administered to a patient of the 
health care facility pursuant to a medication 
order. 



(2) 



All controlled substances stocked within a health 
care facilir\ that are not located within the 
facility's pharmacy or automated dispensing 



device must be accompanied by a disposition 
form issued from the pharmacy. This document 
shall at a minimum contain: 
(A) the product name, strength, dosage form, and 

quantity supplied; 
{B} the date transferred to the patient care unit by 
the pharmacy; 

(C) the name of the pharmacy representative 
supplying, and the patient care unit representa- 
tive receiving the drug; 

(D) the date, time, and amount of the drug re- 
moved from the patient care unit stock for 
administration; and 

(E) the patient name and identification of the 
person acquiring the product. 

(3) Exceptions to this Paragraph are made for use of 
automated dispensing devices provided that these 
devices meet all applicable rules for controlled 
substances contained therein. 

(4) Wlien a dose of a controlled substance has been 
prepared for a patient but not used (i.e., refused, 
order canceled, or contaminated), it may be 
destroyed at the patient care unit. The destruc- 
tion must be witnessed by a second responsible 
health care provider. Details of the event, along 
with the identification of the two who affected 
the destruction, shall be documented. If such 
record is separate from the disposition form, it 
shall be maintained uniformly uith the corre- 
sponding disposition form. 

{^ NIGHT CABINET DRUG INVENTORIES. Drugs 
shall be distributed, in limited quantities, within a health 
care facility for the purpose of establishing and maintaining 
a supplementaA' Inventory for use onl\' 'A'hen the pharmacy 
is closed. The Pharmacist Manager shall, in connection 
with the appropriate committee of the health care facility, 
develop listings of those drugs to be included in such 
inventories. TTie Pharmacist Manager shall, at a minimum, 
be responsible to assure that: 

(1) access to such drug inventories be by locked 
cabinet(s) or other enclosure(s) constructed and 
secured to deny access to unauthorized persons: 

(2) only specifically authorized personnel, as indi- 
cated by written policies and procedures, shall 
obtain access to the drug inventories; 

(3) only pre-packaged drugs are available therein, in 
amounts sufficient for immediate therapeutic 
requirements. Drugs shall be properly labeled, 
with drug name, strength, lot number and expi- 
ration date. VVhenever access to such inventory 
is gained, a cops of the record of withdrawal 
and a cop\ of the written order for new drug 
orders shall be provided to the pharmacy. The 
record of withdrawal shall contain the following: 

(A) the date of removal of the drugi 

(B) the name, strength, dosage form, and quantits' 
of drug removed; 



2094 



NORTH CAROLINA REGISTER 



November 15, 1995 10:16C 



PROPOSED RULES 



(C) the name of the patient for whom the drug was 
ordered: 

(D) the name or identification code of the autho- 
rized personnel removing the drug from inven- 
tory; 

{4} all drugs are inventoried no less than monthly. 
A system of accountability must exist for all 
drugs contained therein: and the purity, potency, 
and integrity, of the drug shall be preserved: and 
(5) written policies and procedures are established to 
implement the requirements of this Rule. 
(h} AUTOMATED DISPENSING DEVICES. Auto- 
mated dispensing devices may be used for maintaining 
patient care unit medication inventories or for a patient 
profile dispensing system. The Pharmacist Manager shall. 
at a minimum, be responsible to assure that: 

(1) only specifically authorized personnel, as indi- 
cated by written policies and procedures, may 
obtain access to the drug inventories: 

(2) all drugs therein are inventoried no less than 
monthly. A system of accountability must exist 
for all drugs contained therein: and the purity, 
potency, and integrity, of the drug shall be 
preserved: 

(3) the device provides records required by this 
Section and other applicable laws and rules: 

(4) written policies and procedures are established to 
implement the requirements of this Rule: and 

(5) requirements for controlled substances security 
are met. 

£i} EMERGENCY KITS. Drugs and devices may be 
provided in emergency kits for use by authorized personnel 
provided that: 

(1) the Pharmacist Manager and the medical staff of 
the health care facility jointly determine the 
drugs and devices, by identity and quantity, to 
be included [n the kit. Drugs and devices 
included in the kit shall be limited to those for 



£2} 



emergency use only and are not to be used for 
any other purpose. The Pharmacist Manager 
shall, in conjunction with the medical staff of the 
health care facility, develop and implement 
written policies and procedures to ensure com- 
pliance with the provisions of these Rules: 
the emergency kit contains those drugs and 
devices which may be required to meet the 
immediate therapeutic needs of patients and 
which are not available from any other autho- 



(3) 



rized source in sufficient time to prevent pro- 
longed discomfort or risk of harm to patients: 
the emergency kit shall be stored in a secure, 
readily available location under the supervision 
of the nursing staff and sealed with a non-reus- 
able, easily removable seal to prevent unautho- 
rized access, and to ensure a proper environment 
for preservation of the drugs and devices within 
them. The seal shall be checked for integrity 



after each shift and a log shall be maintained: 

(4) the exterior of the emergency kit shall be labeled 
so as to clearly and unmistakably indicate that it 
is an emergency drug kit and is for use in 
emergencies only. In addition, a listing of the 
drugs and devices contained therein, including 
name, strength, and quantity of each drug or 
device shall be attached. Each emergency kit 
shall be inspected by a pharmacist or his 
designee every 30 days to check for expiration 
dates and the integrity of the seal; 

(5) all drugs and devices contained within the emer- 
gency kit shall be labeled, if applicable, with, at 
a minimum, the name, strength, lot number, 
manufacturer, and expiration date; 

(6) drugs and devices shall be removed from the 
emergency kit for administration to a patient 
only pursuant to a valid physician's order, by 
personnel authorized by the facility; 

(7) whenever an emergency kit is opened, the 
pharmacy shall be notified. The Pharmacist 
Manager or designee shall re-stock, re-seal, and 
return the kit to the unit within a reasonable 
length of time in order to prevent risk of harm 
to patients. The emergency drug kits shall be 
checked by an authorized person in accordance 
with written policies and procedures of the 
health care facility. In the event the kit is 
opened in an unauthorized manner, the phar- 
macy and other appropriate personnel of the 
facility shall be notified: and 

(8} CONTROLLED DRUG EMERGENCY KITS. 
Emergency drugs that are controlled substances 
must be stored in compliance with 10 NCAC 
45G .0410 of the North Carolina Controlled 
Substances Act. 
(j) RECORDS. 

(I) The pharmacist manager shall, in addition to the 
requirements for preserving prescription orders 
as set forth in G.S. 90-85.26, develop a system 
of daily accountability for medication compound- 
ing and dispensing that shall permit the identifi- 
cation of the responsible pharmacist. Readily 
retrievable records of accountability shall be 
maintained for at least 30 days. At a minimum, 
this system shall identify all personnel who 
perform these activities and the pharmacist 
responsible for: 

(A) interpretation and appropriateness of new 
medication orders: 

(B) profile entry of new medication orders; 

(C) dispensing of new medication orders including 
Stat doses: 

(D) daily cart fills; 

(E) IV admixtures: 

(F) compounded medications: and 

(G) replenishment of pharmaceutical drugs and 



10:16C 



NORTH CAROLINA REGISTER 



November 15, 1995 2095 



PROPOSED RULES 



devices stocked in locations outside the phar- 
macy. 

(2) Medication occurrences resulting from the 
administration of an incorrect medication or dose 
shall be documented and reported immediately to 
the pharmacist manager. Documentation shall 
include pertinent chronological information and 
appropriate health care facility forms (i.e., 
incident report, medication variance reports, 
etc.), including the identity of individuaUs) 
responsible. These documents shall be archived 
in a readily retrievable manner, open for inspec- 
tion, for a period of three years. 

(3) Upon notification of a death occurrence which 
indicates or suggests that an administered drug 
or device has caused or contributed to that 
death, the pharmacist manager shall retain all 
documents, labels, vial, supplies, substances and 
internal investigative reports relating to the 
event. All such items shall be maintained by the 
health care faciliry under the control of the 
pharmacist manager and shall be open to the 
Board of Pharmacy. 

(4) The pharmacist manager shall maintain records 
of ordering, receiving, dispensing or transfer of 
controlled substances. These records shall 
include, but are not limited to the following: 

(A) Invoices or other such documents verifying the 
ordenng and receipt of controlled substances; 

(B) Perpetual inventories of controlled substances 
transferred to patient care units and other sites 
as allowed by this Rule (i.e., automated dis- 
pensing devices, emergency kits, etc.). TTiese 
inventories shall record the transfer date; 
location transferred to; the identity of the drug, 
strength, dosage form, and quantity trans- 
ferred; transferring pharmacist's name; 

(Q Chsposition records required by Paragraph (g) 
of this Rule; 

(Dl A record of controlled substances dispensed 
directly to the patient to include the patient's 
name; date dispensed; dispensing pharmacist's 
name; name, strength, dosage form, and 
quantits' of the drug dispensed. The records 
shall also document drugs returned and cred- 



mi 



ited; and 

A perpetual inventory shall be maintained on 
all controlled substances awaiting destruction 
or return to a vendor. 



(5) Automated systems may be used to collect and 
store information required by Subparagraph 
(i)(4) of this Rule provided such system allows 
for the immediate retrieval (via CRT display and 
hard -c op V printout) of original medication order 
information and dispensing history consistent 
with criteria cited in 21 CFR .1306 and 10 
NCAC 46 .2304. 



(6) With the exception of Subparagraph (i)(l) of this 

Rule, all records required by this Section shall 
be maintained for a period of three years. Such 
records shall be archived in a uniform manner, 
retrievable to the pharmacy within 48 hours, and 
open for review, copying, or seizure by a mem- 
ber or designated employee of the Board. 

Statutory Authority G.S. 90-85.2; 90-85.6; 90-85.21; 90- 
85.32. 

.1415 MEDICATION IN HEALTH CARE 

FACILITY EMERGENCY DEPARTMENTS 

(a) In those health care facilities having 24 hour outpa- 
tient pharmacy service, all drugs dispensed to outpatients 
including emergency department patients must be dispensed 
by a pharmacist. 

(b) When drugs are not otherwise available from a 
registered pharmacist, drugs may be dispensed by the 
physician, registered nurse under physician supervision, or 
a person authorized to prescribe and dispense drugs pursuant 
to G.S. 90-18.1 or 90-18.2 subject to the following: 

( 1) Drugs shall only be dispensed to a registered 
patient of the emergency department; 

(2) The pharmacist manager shall be responsible for 
developing and supervising a system of control 
and accountability of all drugs administered in, 
or dispensed from the emergency department; 

(3) The pharmacist manager, in conjunction with the 
appropriate committee responsible for policy in 
the emergency department, shall develop an 
emergency department formulary which may be 
dispensed from the emergency department for 
patients receiving care in that department. This 
formulary shall consist of drugs of the nature 
and type to meet the immediate needs of emer- 
gency department patients, and quantities in each 
container shall be limited to not more than a 24 
hour supply or the smallest commercially-avail- 
able quantity; 

(4) Such drugs shall be prepackaged in suitable 
safety closure containers and shall be appropri- 
ately pre-labeled by the pharmacist to comply 
with 21 NCAC 46 .1414(i)(5) of this Chapter. 
Prior to dispensing, the following information 
shall be placed on the label: 

(A) name, address, and telephone number of the 
health care facility pharmacy; 

(B) dispensing date; 

(C) full name of patient; 

(D) brand or trade name, or in the absence of a 
brand name, the estabUshed name of the prod- 
uct dispensed; 

(E) directions for use to the patient; 

(F) name of physician prescribing and dispensing 
the product; and 

(G) required precautionary or further accessory 



2096 



NORTH CAROLINA REGISTER 



November 15, 1995 10:16C 



PROPOSED RULES 



cautionary information as may be desirable for 
proper use and safety to the patient; 

(5) A suitable and perpetual record of dispensing of 
all drugs, including drug samples and starter 
packages, shall be maintained as part of the 
pharmacy's records for three years. The Phar- 
macist Manager shall verify the accuracy of 
these records at least once a month. Such 
record shall, at a minimum, contain the follow- 
ing: 

(A) date dispensed; 

(B) patient's name; 

(C) physician's name; and 

(D) name of drug dispensed, strength, dosage 
form, quantity dispensed, and dose; 

(6) The physician shall sign all orders for medica- 
tion within 72 hours of the initiation of the 
order. 

(c) The physician, registered nurse under physician 
supervision, or person who is authorized to prescribe and 
dispense drugs pursuant to G.S. 90-18. 1 or 90-18.2 shall 
comply with all regulations governing the dispensing of 
medications including patient counseling as defined in 21 
NCAC 46 .2504 Patient Counseling. 

Statutory Authority G.S. 90-85.2; 90-85.6; 90-85.21; 90- 
85.32. 

.1416 REPACKAGING 

(a) Drugs which are prepackaged from within a health 
care facihty pharmacy for subsequent dispensing or adminis- 
tration shall be labeled to include: 

(1) the brand or trade name, strength, and quantity 
of drug; 

(2) identification of the manufacturer, and lot or 
control number; 

(3) the expiration date of the drug being repackaged; 
and 

(4) cautionary notations, if applicable. 

(b) A batch number assigned by the pharmacy may be 
placed on the label in lieu of the manufacturer's name and 
lot number, provided that the pharmacy maintains a readily 
retrievable record which identifies, by batch number, the 
manufacturer and lot number of the drug. 

(c) The pharmacy shall have and use proper facilities, 
qualified personnel, effectual operational practices, suitable 
packaging material, and adequate control procedures to 
assure that the purity, integrity, safety, and effectiveness of 
the drugs are not affected by such repackaging. All 
repackaging must be performed by or under the supervision 
of a pharmacist. 

Statutory Authority G.S. 90-85.2; 90-85.6; 90-85.21; 90- 
85.32. 

.1417 AUTOMATED DISPENSING DEVICES 

Automated Dispensing Devices, such as but not limited to 



Pyxis machines, may be utilized only in Health Care 
Facility Pharmacies and where a pharmacy permit exists 
provided that the pharmacist manager has developed 
satisfactory procedures to assure safe and effective patient 
therapy. 

Statutory Authority G.S. 90-85.6; 90-85.32. 

SECTION .1500 - ADMISSION REQUIREMENTS: 
EXAMINATIONS 

.1505 EXAMINATION 

(a) The examination shall consist of testing in the follow- 
ing areas: 

(1) theoretical examination including pharmacology, 
pharmacy, chemistry, mathematics and practice 
of pharmacy which may be reported separately 
or combined as one score. 

(2) practical pharmacy examination which may be 
reported separately or combined as one score 
including: laboratory' work, prescription reading 
and interpretation, drug identifications, determi- 
nation of errors and omissions, pharmaceutical 
jurisprudence, patient counseling, drug utiliza- 
tion review, and such other reasonable tests of 
the applicant's ability to translate professional 
knowledge into terms of actual practice as the 
Board may see fit. 

(b) For the purpose of grading or rating, the answers, 
which shall be legible, shall be valued by marks or points 
based on their importance, as determined by the judgment 
of the examiners. 

(c) In order to pass, an over-all average of 75 is required 
on both the practical and the theoretical sections. Candi- 
dates who obtain a 75 on the practical pharmacy section or 
a 75 average on the theoretical section are deemed to have 
passed the respective section provided that the candidate 
obtains a passing score on the remaining section in North 
Carolina within the next following two calendar years. A 
candidate who fails to pass both sections of the examination 
in the two calendar year period must retake and pass both 
sections of the examination. 

Statutory Authority G.S. 90-85.15; 90-85.16. 

SECTION .1600 - LICENSES AND FERMfTS 

.1601 PHARMACY PERMITS 

(a) Applications for pharmacy permits, whether original 
or renewal, shall be made upon forms provided by the 
Board. The Board shall not issue any original or annual 
renewal pharmacy permit until the Board is satisfied that: 

(1) Adequate qualified personnel has been secured 
by the management of the store to properly 
render pharmaceutical service in the manner 
prescribed by law. 

(2) Such personnel shall be maintained during that 



10:16C 



NORTH CAROLINA REGISTER 



November 15, 1995 2097 



PROPOSED RULES 



period for which the permit is issued. 

(3) Any and all unlicensed clerks have been in- 
structed that they may render pharmaceutical 
sendee only as an aid to and under the immedi- 
ate supervision of a registered pharmacist. 

(4) The following minimum technical equipment is 
maintained: 

(A) Graduates. Capable of accurately measuring 
volumes from 1 ml to at least 500 ml; 

(B) Mortars and pestles: 
(i) one — glass: 

(ii) one — "Wedgwood"; 

(C) Stirring Rods. Two — assorted sizes, glass or 
rubber; 

(D) Ointment slab or suitable substitute; 

(E) Class A prescription or electronic balances and 
appropriate weights, suitable for all required 
weighings, at least one of which must be 
sensitive to six mg; 

(F) Suitable facilities for recording and filing 
prescriptions as required by G.S. 90-85.26; 

(G) Spatulas: 

(i) stainless steel, at least three assorted sizes; 
(ii) non-metallic, one of any size; 
CH) Useable Supplies. Equipped with safety clo- 
sures where required: 
(i) prescription bottles, 1 to 32 fluid ounces; 
(ii) dropper bottles. 1/2 to 2 fluid ounces; 
(iii) assorted pill and tablet containers: 
(iv) emptv' capsules. No. 00 to No. 3; 
(v) powder papers; 
(vi) ointment jars, assorted; 
(vii) prescription labels; 
(viii) all appropriate auxiliar>' labels; 
(I) Heating apparatus: 
(J) Refrigerator; 
(K) Reference librarv, as follows: 

(i) the latest edition of the United States 
Pharmacopoeia (USP) and National For- 
mulary' and supplements thereto or a stan- 
dard commentary' thereon; 
(ii) a copy of the pharmacy laws of North 
Carolina, including the North Carolina 
Controlled Substances Act and the rules 
adopted pursuant thereto, and the North 
Carolina Pharmacy Practice Act and the 
rules of the Board; 
(iii) a copy of the Federal Controlled Sub- 
stances Act and the regulations adopted 
pursuant thereto; 
(iv) a Schedule V controlled substances register 
(where these preparations are sold other 
than on prescriptions); 
(v) a medical dictionary; 
(vi) current editions of generally accepted 
reference books on the following subjects: 
(1) dru2 interactions. 



(II) clinical pharmacology, and 

(III) USP Dispensing Information or its 
equivalent, 

(IV) if IV admixture services are provided, 
a reference on Parenteral Incompatibili- 
ties. 

(5) The pharmacy is equipped with sanitary appli- 
ances including lavatory facilities with hot and 
cold running uater, is adequately lighted, and is 
kept in a clean, orderly, and sanitary condition. 

(6) All prescription medications are labeled in 
accordance with G.S. 106-134 and 106-134.1. 

(b) In addition to the requirements for issuance and 
renewal of a pharmacy permit imposed by a statute and by 
other rules of the Board, a permit shall not be issued or 
renewed to any person to operate a pharmacy wherein the 
prescriptions of medical practitioners are compounded or 
dispensed and distributed when such distribution is effected 
by mail and the practitioner-pharmacist-patient relationship 
does not exist, until the Board is satisfied that: 

(1) The pharmacy maintains records of prescriptions 
compounded or dispensed and distributed in 
manner that is readily retrievable; 

(2) During the pharmacy's regular hours of opera- 
tion but not less than six days per week, for a 
minimum of forty hours per week, a toll-free 
telephone service is provided to facilitate com- 
munication between patients and a pharmacist at 
the pharmacy who has access to the patient's 
records. This toll-free number must be dis- 
closed on the label affixed to each container of 
dispensed drugs; 

(3) The pharmacy complies with all lawful orders, 
directions, and requests for information from the 
Boards of pharmacy of all states in which it is 
licensed and all states into which it distributes 
prescription drugs; 

(4) The pharmacy complies with all USP and FDA 
requirements regarding the storage, packaging, 
and shipping of prescription medications. 

The pharmacist-manager and all other pharmacists employed 
in the pharmacies {>ermitted pursuant to this Paragraph shall 
be subject to all Federal and State statutes and regulations 
concerning the dispensing of prescription medications 
including, but not limited to, 21 NCAC 46 .1801 and .1805 
and 21 CFR 1306.01, 1306.05, and 1306.21. Provided, 
however, that this Rule shall not apply to the occasional 
mailing of prescription drugs to bona fide customers of any 
pharmacy when the practitioner-pharmacist-patient relation- 
ship is present. 

(c) TTie Board shall not issue an original or renewal 
permit to any person to operate a drugstore or pharmacy as 
a department in or a part of any other business serving the 
general pubUc (except hospitals, nursing homes, and similar 
institutions subject to the provisions of .0300 of this Chap- 
ter) unless such pharmacy facility: 

(1 ) is physically separated from such other business; 



2098 



NORTH CAROLINA REGISTER 



November 15, 1995 10:16C 



PROPOSED RULES 



(2) is separately identified to the public both as to 
name and any advertising; 

(3) completes all transactions relative to such phar- 
macy within the registered facility; and 

(4) meets the same requirements for registration as 
all other pharmacies. 

(d) Permits to operate pharmacies, whether original or 
renewal, shall be issued to the pharmacist-manager of such 
pharmacy pursuant to a joint application of the owner and 
pharmacist-manager for the conduct and management of said 
pharmacy. The issuance of said permit shall not be com- 
plete and the permit shall not be valid until it has been 
countersigned by the pharmacist-manager as represented in 
the application. The permit so issued is valid only so long 
as the pharmacist-manager to whom it was issued assumes 
the duties and responsibilities of pharmacist-manager. 
Permits may be reissued at any time to a successor pharma- 
cist-manager pursuant to the proper amendment of the 
application for the permit. 

(e) Upon application, the Board may issue and renew 
multiple permits for pharmacies operating at one location. 
Records for each permitted pharmacv must be maintained 
separately. Prior to issuance of an original permit, each 
pharmacy shall submit a plan to the Board that shall assure 
accountability for the actions of each pharmacv at the 
location. 

Statutory Authority G.S. 90-85.6; 90-85.21. 

.1602 LICENSE BY RECIPROCITY 

(a) An applicant for licensure without examination, must 
have: 

(1) Originally been licensed as a pharmacist by an 
examination equivalent to the North Carolina 
examination specified in Rule .1505(a)(1) of this 
Chapter; 

(2) Achieved scores on an equivalent examination, 
such as the NABPLEX examination, which 
would qualify for licensure in this state at that 
the time if said applicant was lioonsod by of 
examination after Juno 1, 19 8 ; 

(3) Been Ucensed by a state which deems licensees 
from this state to be equivalent to the extent that 
they are suitable for licensure in that state 
without further substantial examination; and 

(4) Passed an examination equivalent to the North 
Carolina examination specified in Rule 
. 1505(a)(2) of this Chapter or, in lieu of such an 
examination, have practiced pharmacy for at 
least one year, provided that the one year of 
pharmacy practice is determined by the Board to 
be the substantial equivalent to passing the 
practical section of the North Carolina examina- 
tion. 

(b) Negative determination of any of the criteria in this 
Rule would preclude licensure under G.S. 90-85.20. 



Statutory Authority G.S. 90-85.6; 90-85.20. 

.1603 WHEN PERMITS REQUIRED 

A permit issued by the Board is required for a new 
pharmacy or a change of ownership of an established 
pharmacy to a suoo e seor buoin e oo entity' which results in a 
change in the controlling of more than 50 percent interest in 
the pharmacy, except as provided in Rule .1604 of this 
Section. 

Statutory Authority G.S. 90-85.6; 90-85.21. 

.1604 TRANSFER OF PERMTTS ALLOWED 

(a) A valid pharmacy permit may be transferred and a 
new permit is not required wh e r e a obongo of own e rship of 
a pharmacy with a pwrmit rosults from a transfer to or from 
a solo proprietorship, a partnorship, a corporation, or any 
other buoinooo ontity if th e transf e r doeo not involv e th e 
aoquioition of more than 50 p e rc e nt int e r e st in th e pharmacy 
by any party who was not a signatory on tho original 
pharmacy permit application, in the following situations: 

(1) where the change of ownership does not involve 
the acquisition of more than 50 percent interest 
in the pharmacv; or 

(2) the pharmacy is owned by a publicly traded 
corporation which maintains ownership of the 
pharmacy; or 

(3) the pharmacy is owned by a corporation which 
is a wholly-owned subsidiary of a publicly- 
traded corporation and there is no change in the 
parent-subsidiary relationship. 

(b) A transfer of ownership of a permit is not allowed 
where the permit is involved in a pending disciplinary 
proceeding. 

Statutory Authority G.S. 90-85.6; 90-85.21. 

.1607 OUT-OF-STATE PHARMACIES 

(a) In order to protect the public health and safety and 
implement G.S. 90-85. 21A, the following provisions apply 
to out-of-state pharmacies that ship, mail, or deliver in any 
manner a dispensed legend drug into this State. 

(b) Such pharmacies shall: 

(1) Pay a fee of two hundred fifty dollars ($250.00) 
for each original registration and thereafter pay 
a fee of one hundred twenty-five dollars 
($125.00) for annual renewal of each registra- 
tion; 

(2) Maintain, in readily retrievable form, records of 
prescription drugs dispensed to North Carolina 
residents; 

(3) Supply all information requested by the Board in 
carrying out the Board's responsibilities under 
the statutes and rules pertaining to out-of-state 
pharmacies; 

(4) During the pharmacy's regular hours of opera- 
tion but not less than six days per week, for a 



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2099 



PROPOSED RULES 



minimum of 40 hours per week, provide a toll- 
free telephone service to facilitate communica- 
tion between patients and pharmacists at the 
pharmacy who have access to the patient's 
records. This toll-free number must be dis- 
closed on the label affixed to each container of 
dispensed drugs; 

(5) Comply with all USP and FDA requirements 
regarding the storage, packaging, and shipping 
of prescription medications; 

(6) Develop and acknowledge the existence of 
policies governing: 

(A) normal delivery protocols and times; 

(B) the procedure to be followed if the patient's 
medication is not available at the out-of-state 
pharmacy, or if deliver^' will be delayed be- 
yond the normal deliver>' time; 

(C) the procedure to be followed upon receipt of a 
prescription for an acute illness, which shall 
include a procedure for delivery of the medica- 
tion to the patient from the out-of-state phar- 
macy at the earliest possible time (such as 
courier delivery), or an alternative that assures 
the patient the opportunity to obtain the medi- 
cation at the earliest possible time; and 

(D) the procedure to be followed when the out-of- 
state pharmacy is advised that the patient's 
medication has not been received within the 
normal delivery time and that the patient is out 
of medication and requires interim dosage until 
mail prescription drugs become available; 

(7) EHsclose the location, names, and titles titles, of 
all principal corporate officers, if incorporated, 
and if unincorporated, partners partn e rs, or 
owners of the pharmacy. Disclose the names 
and license numbers of all pharmacists dispens- 
ing prescription legend drugs to an ultimate user 
in this State, the names and, if available, license 
or registration numbers of all supportive person- 
nel employed by the out-of-state pharmacy who 
assist such pharmacists in such dispensing. A 
report containing this information shall be made 
on an annual basis and within 30 days of each 
change of any principal office, pharmacist- 
manager of any location dispensing prescription 
legend drugs to an ultimate user in this State, 
principal corporate officer if incorporated, and 
if unincorporated, partner or owner of the 
pharmacy. A new registration shall be required 
for a change of ownership of an established 
pharmacy to a successor business entity which 
results in a change in the controlling interest In 
the pharmacy; 

(8) Submit evidence of possession of a valid license, 
permit, or registration as a pharmacy In compli- 
ance with the laws of the state in which the 
pharmacy is located. Such evidence shall con- 



sist of one of the following: 

(A) a copy of the current license, permit, or regis- 
tration certificate issued by the regulatory or 
licensing agency of the state in which the 
pharmacy is located; or 

(B) a letter from the regulatory or Licensing agency 
of the state in which the pharmacy is located 
certifying the pharmacy's compliance with the 
pharmacy laws of that state; 

(9) Designate a resident agent in North Carolina for 
service of process. Any such out-of-state phar- 
macy that does not so designate a resident agent 
shall be deemed to have appointed the Secretary 
of State of the State of North Carolina to be its 
true and lawful attorney upon whom process 
may be served. All legal process in any action 
or proceeding against such pharmacy arising 
from shipping, mailing or delivering prescription 
drugs in North Carolina shall be served on the 
resident agent. In addition, a copy of such 
service of process shall be mailed to the out-of- 
state pharmacy by certified mail, return receipt 
requested, at the address of the out-of-state 
pharmacy as designated on the registration form 
filed with the Board. Any out-of-state pharmacy 
which does not register in this State, shall be 
deemed to have consented to service of process 
on the Secretary of State as sufficient service. 

(c) The facilities and records of an out-of-state pharmacy 
shall be subject to inspection by the Board; provided 
however, the Board may accept in lieu thereof satisfactory' 
inspection reports by the licensing entity of the state in 
which the pharmacy is located. 

(d) An out-of-state pharmacy shall comply with the 
statutes and regulations of the state in which the pharmacy 
is located. 

(e) Any person who ships, mails, or delivers prescription 
drugs to North Carolina residents from more than one out- 
of-state pharmacy shall register each pharmacy separately. 

(0 Prior to original registration, a pharmacist who is an 
authorized representative of the pharmacy's owner must 
appear personally at the Board office on the first Monday of 
the month, the Monday before the monthly Board meeting, 
or such other time as scheduled with the Board's staff. 
Such authorized pharmacist may represent all pharmacies 
having the same ownership. 

(g) An out-of-state pharmacy shall report to the Board 
Information that reasonably suggests that there is a probabil- 
ity that a prescription drug or device dispensed from such 
out-of state pharmacy has caused or contributed to the death 
of any patient. TTie report shall be filed in writing on a 
form provided by the Board within 14 days of the pharmacy 
becommg aware of the death. Tlie Board may not disclose 
the identity of any person or entity making the report, 
except when it is necessary to protect life or health of any 
person. No such report In possession of the Board shall be 
discoverable or admissible into evidence or otherwise used 



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November 15, 1995 10:16C 



PROPOSED RULES 



I 



) 



) 



in any civil action involving private parties. 

(h) The Board may, in accordance with Chapter 150B of 
the General Statutes, issue a letter of reprimand or suspend, 
restrict, revoke, or refuse to grant or renew registration to 
an out-of-state pharmacy if such pharmacy has: 

(1) made false representations or withheld material 
information in connection with obtaining regis- 
tration; 

(2) been found guilty of or plead guilty or nolo 
contendere to any felony in cormection with the 
practice of pharmacy or the distribution of 
drugs; 

(3) made false representations in connection with the 
practice of pharmacy that endanger or are likely 
to endanger the health or safety of the public, or 
that defraud any person; 

(4) failed to comply with this Rule and G.S. 90- 
85.21A ; 

(5) been the subject of a negligence complaint 
resulting from the dispensing of prescription 
drugs to a resident of North Carolina and based 
on an investigation of such complaint been found 
to be negligent: 

(A) by the Board of Pharmacy of the state in 
which the pharmacy is located; 

(B) by the North Carolina Board of Pharmacy if 
the Board of Pharmacy of the state where the 
pharmacy is located failed to initiate an investi- 
gation of such complaint within 4^ 30 days 
after referral of the complaint from the North 
Carolina Board of Pharmacy; or 

(C) by the North Carolina Board of Pharmacy if 
the Board of Pharmacy of the state where the 
pharmacy is located initiates an investigation of 
such complaint within 45 30 days, but later 
advises the North Carolina Board that it will 
not make a determination of negligence or that 
it has made no determination of the issue of 
negligence within on e year 180 days after 
referral of the complaint, complaint and hoa 
discontinuod any active investigation or pro 
oooding for suoh d e t e rmination. In any disci- 
plinary proceeding based on negligence, the 
standard of practice shall be that applicable in 
the state in which the pharmacy is located. In 
disciplinary proceedings pursuant to Part 
(h)(5)(A) of this Rule, the Board shall adopt 
the findings of negligence by the Board of 
Pharmacy of the state in which the pharmacy 
is located as part of the Board's final decision 
without producing its own evidence of negli- 
gence. 

(i) An out-of-state pharmacy shall notify the Board within 
five days of receipt of any order or decision by a Board of 
Pharmacy imposing disciplinary action on the pharmacy. 
Notwithstanding the provisions of Paragraph (h) of this 
Rule, if the permit or registration in the state where the 



pharmacy is located is suspended or revoked, then the 
pharmacy's registration in North Carolina will be immedi- 
ately suspended or revoked for the same period of time. 

(j) An out-of-state pharmacy registration shall expire on 
December 3 1 of each year. 

Statutory Authority G.S. 90-85.6; 90-85. 21 A; 90-85.26; 90- 
85.28; 90-85.29; 90-85.30; 90-85.32. 

SECTION .1700 - DRUGS DISPENSED BY NURSE 
OR PHYSICIAN'S ASSISTANT 

.1701 DISPENSING BY REGISTERED NURSE 
OR PHYSICIAN'S ASSISTANT 

This S e ction gov e rns diap e nsing by a r e gioterod nurs e or 
physician's assistant as authorized by G.S. 90 1 8 .1 and 
90 1 8 .2. 

Statutory Authority G.S. 90-18.1; 90-18.2; 90-85.6. 

.1702 DISPENSING SUPERVISED BY 
LICENSED PHARMACIST 

A r e gist e red nurse or aooiotant to a physician who is 
authorized by the Board of Medical Examiners to dispense 
drugs shall bo doomed to bo under the supervision of a 
lic e ns e d pharmacist if: 

ft) the place whore such drugs ar e dispensed holds a 

curront — pharmacy — permit — from tho — Board as 
required by G.S. 90 8 5.21; 

(3) th e pharmacist provides writt e n procedures for tho 

packaging. — lab e ling, — and d e liv e ring — of drugs 
dispensed as well as maintenance of appropriate 
rocorda, as provided in Rulo . 1705 of this Section; 



m- 



th e pharmacist r e vi e ws all r e cords of drugs dis 
p e ns e d at l e ast daily for e ach day wh e n disp e nsing 
tokos place; and 

(4^ tho pharmacist holds himsolf available for consul 

tation in p e rson, by t e l e phon e , or other m e ans of 
dir e ct oommunioation at all tim e s wh e n drugs ar e 
dispensed. 

Statutory Authority G.S. 90-18.1; 90-18.2; 90-85.6. 

.1703 DRUGS TO BE DISPENSED 

Such drugs as may bo dispensed by tho registered nurse or 
assistant to a physician who is authoriz e d to proscribe or 
disp e ns e drugs shall b e limit e d to thos e drugs on th e 
formular>' approved by tho Board of Medical Examiners 
which lists drugs the registered nurse or assistant to a 
physician is authoriz e d to pr e scrib e . — All drugs not list e d in 
th e formular)' which might b e pr e scrib e d by th e physician 
supeP i 'ising tho registered nurse or assistant to tho physician 
must bo dispensed personally by tho prescribing physician, 
by tho pharmacist, or by a p e r s on acting und e r th e sup e rvi 
sion of th e pharmacist. 

Statutory Authority G.S. 90-18.1; 90-18.2; 90-85.6. 



10:16C 



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November 15, 1995 2101 



PROPOSED RULES 



Alternative I 

.1703 DRUGS TO BE DISPENSED 

(a) Such drugs as may be dispensed by the registered 
nurse or aooiotant to a physician who is authorized to 
prescribe or dispense drugs shall be limited to those drugs 
in the formular>' approved by the Board of Mcxiioal Examin 
efs written standing protocols approved and signed by both 
the supervising phvsician(s) and the registered nurse and 
maintained in each approved practice site. The written 
standing protocols shall include drugs that may be pre- 
scribed, ordered and implemented by the registered nurse. 
which listo drugs the r e gist e r e d nuroe or assistant to a 
physician is authorizod to pr e scrib e . All drugs not listed in 
the formulary written standing protocols which might be 
prescribed by the physician super%'ising the registered nurse 
or assistant to th e physician must be dispensed personally by 
the prescribing physician, by the pharmacist, or by a person 
acting under the supervision of the pharmacist. 

(h) Such drugs as may be dispensed by an assistant to a 
physician who is authorized to prescribe or dispense drugs 
shall be limited to the dispensing of drugs that are delegated 
by the super\'ising physician. 

Statutory Authority G.S. 90-18.1; 90-18.2; 90-85.6. 

Alternative 2 

.1703 DRUGS TO BE DISPENSED 

(a) Such drugs as may be dispensed by the registered 
nurse or assistant to a physician who is authorized to 
prescribe or dispense drugs shall be limited to those drugs 
on the formulary approved by the Board of M e dical Exam 
in e rs which lists drugs the registered nurse or assistant to a 
physician is authorized to dispense. 

(b) All drugs not listed in the formulary which might be 
prescribed by the physician super-'ising the registered nurse 
or assistant to the physician must be dispensed personally by 
the prescribing physician, by the pharmacist, or by a person 
acting under the super\'ision of the pharmacist. 

Statutory Authority- G.S. 90-18. 1: 90-18.2: 90-85.6. 

.1704 PREPACKAGING OF DRUGS DISPENSED 

iMl drugs dispons e d by th e r e gist e r e d nurs e or assistant to 
th e physician shall b e prepackaged in suitabl e saf e ty closur e 
containors and shall be appropriately prolabelod (including 
nooossary — auxiliary' — labels) by the pharmacist with all 
information requir e d by law e xc e pt th e nam e of th e patient 
and the dir e ctions for us e . — Th e nam e of tho pati e nt and 
directions for use of the drug s hall bo placed on the label by 
tho registered nurse or assistant to tho physician at tho time 
it io dolivorod to th e pati e nt or his agent. 

Statutory Authority G.S. 90-18.1; 90-18.2; 90-85.6. 



.1705 RECORDS OF DISPENSING 

A suitabl e and p e rp e tual r e cord of disp e nsing of all drugs 
shall b e maintain e d in th e facilit)' wh e r e ouoh drugs are 
disponsod. — TTic pharmacist shall verify' tho corroctnosa of 
this record daily. — Tho record of drugs dispwnsod shall bo 
op e n to insp e ction at r e asonabl e hours to ag e nts of tho 
Board of M e dical Examiners and th e Board. 



Statutory Authority 
90-85.36. 



G.S. 90-18.1; 90-18.2; 90-85.6; 



SECTION .1800 - PRESCRIPTIONS 

.1810 CHANGES IN PRESCRIPTION ORDERS 

Any change in a prescription order from that originally 
issued by a prescriber constitutes the practice of pharmacy. 

Statutory Authority G.S. 90-85.6; 90-85.32. 

.1811 EXCESSIVE DISPENSING OF 
PRESCRIPTION DRUGS 

Pharmacists shall not dispense and permit holders shall not 
allow a pharmacist to dispense prescription drugs at such an 
excessive rate per hour or ger day as to pose a danger to the 
public health or safety. 

Statutory Authority G. S. 90-85. 6; 90-85. 32. 

SECTION .1900 -FORMS 

.1910 CERTinC ATE OF EXPERIENCE 
OUTSIDE NORTH CAROLINA 

Tho form for certiFioation of oxperionco outside North 
Carolina is e ntitl e d "Cortificat e of Exp e ri e nce Outsid e North 
Carolina". — This form r e quir e s information on id e ntification, 
length and location of oxporicncc — and tho rosponsiblo 
pharmao tst^ 

Statutory^ Authority G.S. 90-85.6; 90-85.15. 

SECTION .2100 - ELECTIONS 

.2104 COMMTTTEE ON NOMINATIONS 

The Board may appoint an advisory committee on nomina- 
tions in January of each year. Members of this committee 
shall submit at least two names of eligible candidates for 
each position to be filled on the Board and on the device and 
medical equipment subcommittee by March 1 for the next 
election. 

Statutory Authority G. S. 90-85. 7; 90-85. 22. 

SECTION .2400 - DISPENSING EN HEALTH 
DEPARTMENT 

.2403 DRUGS AND DEVICES TO BE 
DISPENSED 



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NORTH CAROLINA REGISTER 



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PROPOSED RULES 



(a) Pursuant to the provisions of G.S. 90-85. 34(a)(3), 
prescription drugs and devices included in the following 
general categories may be dispensed by registered nurses in 
local health department clinics when prescribed for the 
indicated conditions: 

(1) Anti-tuberculosis drugs, as defined by the latest 
edition of Drug Facts and Comparisons, as 
published by Facts and Comparison Div., J.B. 
Lippincott Co., or as recommended by the 
Tuberculosis Control Branch of the North Caro- 
lina Division of Health Services, when used for 
the treatment and control of tuberculosis; 

(2) Anti-infective agents used in the control of 
sexually-transmitted diseases as recommended by 
the United States Centers for Disease Control; 

(3) Natural or synthetic hormones and contraceptive 
devices when used for the prevention of preg- 
nancy; 

(4) Topical preparations for the treatment of lice, 
scabies, impetigo, diaper rash, vaginitis, and 
related skin conditions; and 

(5) Vitamin and mineral su pplements. 

(b) Regardless of the provisions set out in this Rule, no 
drug defined as a controlled substance by the United States 
Controlled Substances Act, 21 U.S. Code 801 through 904, 
or regulations enacted pursuant to that Act, 21 CFR 1300 
through 1308, or by the North Carolina Controlled Sub- 
stances Act, G.S. 90-86 through 90-113.8, may be dis- 
pensed by registered nurses pursuant to G.S. 90-85. 34A. 

Statutory Authority G.S. 90-85.6; 90-85. 34A. 

SECTION .2500 - MISCELLANEOUS PROVISIONS 

.2502 RESPONSIBILITIES OF PHARMACIST- 
MANAGER 

(a) The pharmacist-manager has the responsibility to 
assure that prescription legend drugs and controlled sub- 
stances are safe and secure within the pharmacy. 

(b) The pharmacist-manager employed or otherwise 
engaged to supply pharmaceutical services may have a 
flexible schedule of attendance but must be present for at 
least one-half the hours the pharmacy is open or 32 hours a 
week. 

(c) Whenever a change of ownership or change of 
pharmacist-manager occurs, the successor pharma- 
cist-manager is responsible for completing an inventory of 
all controlled substances in the pharmacy within ten days. 
A written record of such inventory, signed and dated by the 
successor pharmacist-manager, shall be maintained in the 
pharmacy with other controlled substances records for a 
period of three years. 

(d) The pharmacist-manager has the responsibility to 
develop and implement a system of inventory re- 
cord-keeping and control which will enable that pharma- 
cist-manager to detect any shortage or discrepancy in the 
inventories of controlled substances at that pharmacy at the 



earliest practicable time. 

(e) The pharmacist-manager shall maintain complete 
authority and control over any and all keys to the pharmacy 
and is responsible for the ultimate security of the pharmacy. 

(f) These duties are in addition to the specific duties of 
pharmacist-managers at institutional pharmacies and pharma- 
cies in health departments as set forth in these rules. 

(g) A person cannot serve as pharmacist-manager at more 
than one pharmacy at any one time except for limited 
service pharmacies, which will be considered by the Board 
on an individual basis upon application by the pharma- 
cist-manager. 

(h) When a pharmacy is to be closed permanently, it is 
the responsibility of the pharmacist-manager to inform the 
Board and the United States Drug Enforcement Administra- 
tion of the closing, arrange for the proper disposition of the 
pharmaceuticals and return the pharmacy permit to the 
Board's offices within ten days of the closing date. It is the 
responsibility of the pharmacist-manager, jointly held with 
the pharmacy's owner (if the owner is other than the 
pharmacist-manager), to transfer prescription files to another 
pharmacy for maintenance of patient therapy and to inform 
the public of such transfer by posted notice or otherwise. 
Controlled substance records shall be retained for the period 
of time required by law. 

(i) It is the responsibility of the pharmacist-manager to 
prepare a plan to safeguard prescription records and 
pharmaceuticals in the event of a natural disaster such as 
hurricane or flood. 

(j) It is the pharmacist-manager's responsibility to 
separate from the dispensing stock all drug products more 
than six months out of date. 

(k) The owner representative or pharmacist-manager shall 
repwrt to the Board of Pharmacy information that reasonably 
suggests that there is a probability that a prescription drug 
or device dispensed from a location holding a permit has 
caused or contributed to the death of a patient or customer. 
This report shall be filed in writing on a form provided by 
the Board within 14 days of the owner representative or 
pharmacist-manager's becoming aware of the event. 

(1) The Board may not disclose the identity of an owner 
representative or pharmacist-manager who makes a report 
under Paragraph (k) of this Rule, except in connection with 
G.S. 90-85.36. No report made under Paragraph (k) of this 
Rule shall be discoverable or admissible into evidence or 
otherwise used in any civil action involving private parties 
except as provided by G.S. 90-85.36. 

(m) In any Board proceeding, the Board shall consider 
compliance with Paragraph (k) of this Rule as a mitigating 
factor and noncompliance with Paragraph (k) of this Rule as 
an aggravating factor. 

Statutory Authority G.S. 90-85.6; 90-85.21; 90-85.25. 

.2504 PATIENT COUNSELING 

(a) "Patient Counseling" shall mean the effective commu- 
nication of information, as defined in this Rule, to the 



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November 15, 1995 2103 



PROPOSED RULES 



patient or representative in order to improve therapeutic 
outcomes by maximizing proper use of prescription medica- 
tions, devices, and medical equipment. This Rule shall 
apply to pharmacists and to registrants under G.S. 90-85.21. 
All provisions of this Rule shall apply to device and medical 
equipment permit holders, except Subparagraph (a)(8) of 
this Rule and except where otherwise noted. Specific areas 
of patient counseling include, but are not limited to. those 
matters listed in this Rule that in the exercise of the pharma- 
cist's or registrant's professional judgment are considered 
significant: 

(1) name, description, and purpose of the medica- 
tion; 

(2) route, dosage, administration, and continuity of 
therapy; 

(3) special directions for use by the patient; 

(4) common severe side or adverse effects or inter- 
actions and therapeutic contraindications that 
may be encountered, including their avoidance, 
and the action required if they occur; 

(5) techniques for self-monitoring drug therapy; 

(6) proper storage; 

(7) prescription refill information; and 

(8) action to be taken in the event of a missed dose. 

(b) An offer to counsel shall be made on new or transfer 
prescriptions at the time the prescription is dispensed or 
delivered to the patient or representative. Ancillary person- 
nel may make the offer to counsel, but the pharmacist or 
registrant must pjersonally conduct counseling if the offer is 
accepted. Counseling by device and medical equipment 
permit holders must be conducted by personnel proficient in 
explaining and demonstrating the safe and proper use of 
devices and equipment. The person in charge shall be 
responsible for ensuring that all personnel conducting 
counseling are proficient in explaining and demonstrating the 
safe and proper use of devices and equipment and for 
documenting the demonstration of such proficiency. The 
offer shall be made orally and in person, whenever practica- 
ble, or through access to a telephone service that is toll-free 
for long-distance calls. A pharmacist or registrant whose 
primary patient population is accessible through a local 
measured or toll-free exchange need not be required to offer 
toll-free ser\'ice. Professional judgment shall be exercised 
in determining whether or not to offer counseling for 
prescription refills. An offer to counsel shall be communi- 
cated in a positive manner to encourage acceptance. 

(c) In order to counsel patients effectively, a reasonable 
effort shall be made to obtain, record, and maintain, if 
significant, patient information, including, but not limited 
to: 

(1) name, address, telephone number; 

(2) date of birth (age), gender; 

(3) medical history; 

(A) disease state(s), 

(B) allergies/drug reactions, 

(C) current list of non-prescription and prescription 
medications, desices. and medical equipment. 



(4) pharmacist, registrant, or permit holder com- 
ments relevant to the individual's drug therapy. 
A "reasonable effort" shall mean a good faith effort to 
obtain from the patient or representative the foregoing 
patient information. Ancillary personnel may collect, 
record, and obtain patient profile information, but the 
pharmacist, registrant, or person in charge of the facility 
holding the device and medical equipment permit must 
review and interpret patient profile information and clarify 
confusing or conflicting information. Professional judgment 
shall be exercised as to whether and when individual patient 
history information should be sought from other health care 
providers. 

(d) Once patient information is obtained, this Lnformation 
shall be reviewed and updated by the pharmacist, regis- 
trant, or person in charge of the facility holding the device 
and medical equipment permit before each prescription is 
filled or delivered, typicall)' at the point-of-sale or point of 
distribution to screen for potential drug therapy problems 
due to; 

(1) therapeutic duplication; 

(2) drug-disease contraindication; 

(3) drug-drug interactions, including serious interac- 
tions with prescription or over-the-counter 
drugs; 

(4) incorrect drug dosage or duration of drug treat- 
ment; 

(5) drug-allergy interactions; and 

(6) clinical abuse/misuse. 

(e) Unless refused by the patient or representative, patient 
counseling shall be provided as follows: 

(1) counseling shall be "face to face" by the phar- 
macist, registrant, or personnel of a device and 
medical equipment permit holder when possible 
or appropriate. If this is not possible, a reason- 
able effort shall be made to counsel the patient 
or representative; 

(2) alternative forms of patient information may be 
used to supplement patient counseling; 

(3) patient counseling, as described in this Rule, 
shall also be required for outpatient and dis- 
charge patients of hospitals, health maintenance 
organizations, health departments, and other 
institutions; however, compliance with this Rule 
in locations in which non-pharmacists are autho- 
rized by law or regulation to dispense may be 
accomplished by such authorized non-pharma- 
cists; and 

(4) patient counseling, as described in this Rule, 
shall not be required for inpatients of hospitals 
or other Institutions where a nurse or other 
licensed health care professional administers the 
medication(s). 

(f) Pharmacies that distribute prescription medication by 
mail, and where the practitioner-pharmacist-patient relation- 
ship does not exist, shall provide counseling services for 
recipients of such medication in accordance with this Rule. 



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PROPOSED RULES 



(g) Records resulting from compliance with this Rule, 
including documentation of refusals to receive counseling, 
shall be maintained for three years in accordance with 
Section .2300 of this Chapter. 

(h) Personnel of device and medical equipment permit 
holders shall give written notice of warranty, if any, 
regarding service after the sale. The permit holder shall 
maintain documentation demonstrating that the written notice 
of warranty was given to the patient. 

(i) Offers to counsel and patient counseling for inmates 
need not be "face to face." but rather, may be conducted 
through a correctional oj law enforcement officer or through 
printed material. A pharmacist, registrant or a device and 
medical equipment permit holder dispensing drugs or 
devices or delivering medical equipment to inmates need not 
comply with Paragraph (c) of this Rule. However, once 
such patient information is obtained, the requirements of 
Paragraph (d) of this Rule shall be followed. 

Statutory Authority G.S. 90-85.6; 90-85.21; 90-85.22; 90- 
85.32; 42 U.S.C. 1396r-8(g). 

.2506 ADMINISTRATION OF DRUGS 

A pharmacist is authorized to administer drugs, pursuant 
to G.S. 90-85. 3(r). upon successful completion of a drug 
administration course approved by the Board and upon a 
showing before the Board of competency to administer 
drugs. Ekxumentation of successful course completion must 
be kept on file at the pharmacist's practice site. Any 
administration of drugs in a hospital or other similar 
institution shall be under a protocol established by the 
medical staff and nursing administration. 

Statutory Authority G.S. 90-85.3; 90-85.6. 

SECTION .2600 - DEVICES 

.2602 ORDERS 

Devices as defined in G.S. 90-85. 3(e), shall be dispensed 
to outpatients only pursuant to an order from a practitioner. 
Such orders shall comply in all pertinent respects with G.S. 
106-134. 1(a) and G.S. 106 13 ^ 1. '1(a) and (b). Use of 
devices for outpatients shall be in compliance with G.S. 90- 
85.3(t). 

Statutory Authority G.S. 90-85.3(e),(r); 90-85.6; 90-85.22. 

.2609 REHABILITATION EQUIPMENT 

(a) Rehabilitation equipment suppliers shall demonstrate 
to the Board's satisfaction a working knowledge of the 
services provided and how they relate to each patient's goals 
as prescribed by the physician. 

(b) Rehabilitation equipment suppliers shall: 

(1) Actively soUcit information from the physician, 
physical therapist, occupational therapist, regis- 
tered nurse and other medical or educational 
personnel, as to the results of their assessment 



and evaluation of the patient's physical, fiinc- 
tional and associated needs as well as the spe- 
cific goals to be met by the enabling technology; 

(2) In close consultation with the referring health 
professional(s), patient, patient's family and 
other primary care providers, delineate the 
appropriate choices of commercially available 
and custom fabricated equipment to meet the 
specified needs of the patient; 

(3) Participate in the measurement of the patient, 
utilizing appropriate instruments and techniques 
to assure the fit and function of the selected 
equipment; 

(4) Deliver, fit and adjust the prescribed equipment; 

(5) Instruct the patient and family in the safe and 
proper use and care of the equipment provided; 

(6) Provide service and support for the equipment 
delivered through knowledgeable, skilled and 
highly trained service personnel and within 72 
hours, provide a response to patient requests for 
repair service on equipment supplied; 

(7) Provide a specific, written statement of warranty 
on the equipment provided, including commer- 
cial warranties and those for adapted or custom 
fabricated items; 

(8) Maintain hability insurance of up to at least one 
million dollars ($1,000,000) worth of coverage 
and when involved in the design, fabrication or 
substantial modification of commercially avail- 
able equipment, also maintain product liability 
insurance; and 

(9) Utilize extensive, written, quality assurance 
procedures including, but not limited to: 

(A) Reviewing custom designed and fabricated 
equipment and interfacing techniques with 
commercial equipment to assure compatibility 
and safety; 

(B) Understanding the properties of the materials 
being used in custom designed and modified 
equipment to assure long term durability; 

(C) Documenting goals and objectives of the 
referring medical or education personnel, as 
well as short and long term effectiveness of the 
equipment in meeting those goals and objec- 
tives; and 

(D) Documenting complaints and problems as 
required in Rule . 1608(a)(12) of this Chapter. 

Statutory Authority G.S. 90-85. 3(e). (11), (r); 90-85.6; 90- 
85.22. 

.2611 MEDICAL EQUIPMENT 

(a) Medical equipment suppliers shall demonstrate to the 
Board's satisfaction a working knowledge of the services 
provided and how they relate to each patient's goals as 
prescribed by the physician. 

(b) Medical equipment suppliers shall: 



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PROPOSED RULES 



(1) Actively solicit and document information from 
the physician or other medical personnel as to 
the results of their assessment and evaluation of 
the patient's physical, functional and associated 
needs, and the specific goals to be met by the 
equipment delivered as well as the effectiveness 
of the equipment in meeting those goals and 
objectives; 

(2) In close consultation with the referring health 
professional(s), patient, patient's family and 
other primary care providers, delineate the 
appropriate choices of commercially availabl e 
and custom fabricated equipment to meet the 
specified needs of the patient; 
Participate in the measurement of the patient, 
utilizing appropriate instruments and techniques 
to assure the fit and function of the selected 
equipment; 

Deliver, fit and adjust the prescribed equipment; 
Instruct the patient and family in the safe and 
proper use and care of the equipment provided; 
Provide service and support for the equipment 
dispensed through knowledgeable, skilled and 
highly trained service personnel and within 72 
hours, provide a response to patient requests for 
repair service on equipment supplied; 
Provide a specific, written statement of warranty 
on the equipment provided, including commer- 
cial warranties and those for adapted or custom 
fabricated items; 

Maintain liability insurance of at least one 
million dollars ($1,000,000) worth of coverage 
and when involved in the design, fabrication or 
substantial modification of commercially avail- 
able equipment, also maintain product liability 
insurance; 

(9) Utilize extensive, written, quality assurance 
procedures including, but not limited to: 

(A) Reviewing custom designed and fabricated 
equipment and interfacing techniques with 
commercial equipment to assure compatibility 
and safety; 

(B) Understanding the properties of the materials 
being used in custom designed and modified 
equipment to assure lon g term durability; 

(C) Documenting complaints and problems as 
required in Rule . 1608(a)(12) of this Chapter. 

( 10) Demonstrate that each item sold or rented has 
been checked, is free of defect, and operates 
within the manufacturers' specifications; 

(11) Refrain from modifying equipment to the extent 
that the modification might reasonably cause 
harm; 

( 12) Maintain all electrical components so that they 
do not present a fire or shock hazard; 

(13') Ensure that all appropriate warning labels or 

labeling, including tags, are present on the 



(3J 



(4] 
(5) 

i6j 



m 



m 



equipment provided; 

(14) Maintain documentation demonstrating that a 
function and safety check of equipment was 
performed prior to set up; 

(15) Maintain an established protocol for cleaning 
and disinfecting equipment which addresses both 
aerobic and anaerobic pathogens; 

(16) Maintain a Material Safety Data Sheet (MSDS) 
on file for solutions and products used in clean- 
ing and disinfecting procedures; 

(17) Maintain segregated areas on the premises and 
in delivery vehicles for clean, dirty, and contam- 
inated equipment; 

(18) Clean and disinfect equipment according to 
manufacturers' specifications; and 

(19) Instruct the patient on proper cleaning techniques 
as specified by the manufacturer. 

(c) Medical equipment suppliers shall implement a 
comprehensive preventative maintenance program which 
includes the following: 

(1) Procedures for problem reporting, tracking, 
recall, and resolution; 

(2) Performance of service as specified by the 
manufacturer and the documentation of such 
performance in the service records; 

(3) Routine inspection, service, and maintenance of 
equipment located in the patient's/customer's 
home according to manufacturers' specifications; 

(4) Maintain repair logs to document repair and 
maintenance of equipment. The following 
information shall be documented in the repair 
log: 

Type of equipment; 
Manufacturer; 



Model; 

Serial number: 



(CI 

m 

(E) Date of repair; 

(F) Specific repair made; and 

(G) Name of person or company performing the 
repair. 

(d) In addition to Section .2500 of this Chapter medical 
equipment suppliers shall comply with the following 
counseling requirements: 

( 1) Utilize orientation checklists to review: 

(A) Instructions for use of the equipment; 

(B) Safety precautions; 

(C) Cleaning procedures; 

(D) Maintenance procedures; and 

(E) Return demonstrations on equipment delivered; 

(2) Instruct the patient about emergency and routine 
contact procedures; 

(3) Deliver and review written instruction materials 
to ensure that the patient receives adequate 
information in order to properly operate the 
equipment; and 

(4) A written plan of service shall be developed, 
implemented, and documented in the patient 



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PROPOSED RULES 



record. The plan of service shall include, but is 
not limited to. an assessment of the safety of the 
home environment, the caregiver and/or patient 
ability to comply with the prescription, and the 
caregiver and/or patient ability to operate and 
clean the equipment as instructed. 



Statutory Authority G.S. 90-85. 3(e), (II), (r): 
85.22. 



90-85.6: 90- 



CHAPTER 48 - BOARD OF PHYSICAL THERAPY 
EXAMINERS 

Notice is hereby given in accordance with G.S. 
150B-21.2 that the North Carolina Board of Physical 
Therapy Examiners intends to amend rules cited as 21 
NCAC 48A .0001, .0004; 48B .0002; 48D .0009 - .0011; 
48E .0101, .0104, .0110; 48F .0003; 48G .0504, .0509, 
.0601; 48H .0102 and .0701. 

Proposed Effective Date: February 1, 1996. 

A Public Hearing will be conducted at LOO p.m. on 
December 7, 1995 at the NC Board of Physical Therapy 
Office, 18 West Colony Place, Suite 120. Durham, NC 
27705. 

Reason for Proposed Action: 

21 NCAC 48 A .0001, .0004; 483 .0002; 48D .0009 - 
.0011; 48E .0101, .0104, .0110; 48F .0003; 48G .0504, 
.0601; 48H .0102 and .0701 - To correct wording error and 
reformat current rules. To change title of executive officer. 
21 NCAC 48G .0509 - To correct typographical error. 

Comment Procedures: Interested persons may present their 
views either orally or in writing at the hearing. In addition, 
the record of hearing will be open for receipt of written 
comments from November 15, 1995 to 5:00 p.m. on Decem- 
ber 15, 1995. Such written comments must he delivered or 
mailed to Constance W. Peake, NC Board of Physical 
Therapy Examiners, 18 West Colony Place, Suite 120, 
Durham NC 27705. 

Fiscal Note: These Rules do not affect the expenditures or 
revenues of local government or state finds. 

SUBCHAPTER 48A - ORGANIZATION 

0001 NAME AND LOCATION 

The North Carolina Board of Physical Therapy Examiners 
has its records at 120 West Colony Place, Suite 120, 
Durham. North Carolina 27705, telephone (919) 490-6393. 
The executive sex; rotary director will be available there by 
appointment. 



Statutory Authority G.S. 90-270.26. 

.0004 EXECUTIVE DIRECTOR 

An executive socrottiry director shall be hired when 
deemed necessary by the chairman with the approval of the 
Board. 

Statutory Authority G.S. 90-270.26. 

SUBCHAPTER 48B - TYPES OF LICENSES 

.0002 LICENSES BY ENDORSEMENT 

(a) Endorsement. Each application for endorsement will 
be considered on an individual basis. 

(b) Examination Required. Only those persons initially 
licensed in another state by virtue of examination will be 
considered for endorsement. Only the following examina- 
tions will be considered: 

(1) For Physical Therapists: 

(A) Therapists Ucensed on the basis of a PT exam 
must present total scores that meet the North 
Carolina passing level. If adequate scores and 
information are not available from the other 
state, the Board may ask the applicant to have 
his scores issued through the appropriate 
testing service. If the total score on the exam- 
ination is unsatisfactory, the exam must be 
repeated. The cost of the examination will be 
paid by the applicant. 

(B) If licensed in another state by an examination 
compiled by that Board, the applicant must 
supply information for the Board to attempt to 
obtain the examination in order to determine if 
it was substantially equal to the examination 
required by North Carolina at that time. If it 
cannot be determined that the examination was 
equal to the North Carolina examination or if 
the scores received on an acceptable examina- 
tion did not meet the North Carolina passing 
requirement, the applicant must take the PT 
exam. The cost of the examination will be paid 
by the applicant. 

(C) A physical therapist currently licensed in 
another state whose license in that state was 
granted on the basis of the American Registry 
of Physical Therapists Examination will be 
considered for endorsement. 

(D) If a foreign-trained physical therapist was 
licensed in another state on the basis of the 
American Physical Therapy Association's 
examination for foreign-trained physical thera- 
pists, this examination will be considered for 
endorsement. 

(2) For Physical Therapist Assistants. Only those 
physical therapist assistants licensed m another 
state by a PTA exam will be considered for 
endorsement. The examination score must meet 



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PROPOSED RULES 



the North Carolina passing level. If not, the 

applicant will be required to lake the PTA exam 

and pay the cost of the examination. 

(c) Active License. Evidence must be presented by the 

licensing Board in the other state that the applicant's license 

in that state was in effect on the date the application for 

North Carolina licensure was filed with the executive 

300 rota r>' director or that it has been activated since that 

date, if it uas not in effect on the date the application was 

submitted. TTiis must be done in accordance with Rule .0105 

of Subchapter E of this Chapter. 



Statutory Authority 
90-270.33. 



G.S. 90-270.26: 90-270. 3 Kb): 



SUBCHAPTER 48D - EXAMINATIONS 

.0009 RETAKING EXAMINATION 

(a) Arrangements for Retake. To retake the examination, 
the applicant must notify the executive Bccrotary director at 
least 60 days in advance of the examination date and pay the 
retake fee and the examination cost at that time. 

(b) Retake Examination. The Board will administer a 
particular form of the examination to an applicant only one 
time. 

Statutory Authority G.S. 90-270.26: 90-270.29: 90-270.30: 
90-270.33. 

.0010 ADMINISTRATION OF EXAMINATION 

(a) Proctoring. TTie written examination shall be 
proctored b\ at least one member of the Board, b\ the 
executive secretary director or by the personnel of a 
professional testing service. Other proctors shall be retained 
as required. 

(b) Identification. A person must bring identification with 
a photograph to the examination and show it to the proctor 
in order to sit for the examination. 

(c) Questionable Conduct. A person engaged in ques- 
tionable conduct on the examination will be required to sign 
a warning slip. Further violation of examination security 
will result in forfeiture of his right to continue the examina- 
tion and may subject the applicant to permanent denial of 
consideration for licensure. 

(d) Cheating. A person engaged in flagrant and obvious 
cheating will, at the discretion of the proctor, forfeit the 
right to continue the examination and may be subject to 
permanent denial of consideration for licensure. 

Statuton,- Authority G.S. 90-270.26: 90-270.29: 90-270.30: 
90-270.36. 

.0011 APPLICANTS WITH SPECIAL NEEDS 

Examination candidates who need special accommodations 
for the examination as a result of a medical or physical 
dysfunction shall file an Accommodation Request Form and 
supporting documentation with the executive soc rotary 



director at least 60 days before the examination date in 
order for the request to be considered by the Board. 

Statutory Authority G.S. 90-270.60: P-L. 101-336. 

SUBCHAPTER 48E - APPLICATION FOR 
LICENSURE 

SECTION .0100 - REQUIREMENTS 

.0101 FILING APPLICATION 

(a) It is the responsibility of the applicant to ascertain 
that his credentials are filed properly with the executive 
secr e tary director . 

(b) To be certain an applicant will be considered for 
the desired examination date, the application must be 
submitted to the executive s e cr e tary director at least 60 
days prior to the examination. 

Statutory Authority G.S. 90-270.26: 90-270.29: 
90-270. 31(h). 

.0104 EXAAHNATION SCORES 

Persons seeking licensure by endorsement must have 
their examination scores sent to the executive secretary 
director by a state of endorsement, by the state in which 
the examination was taken, or by report from the appro- 
priate testing service. The scores must be on a form 
bearing the official signature and seal of the reporting 
Board. 

Statutory Authority G.S. 90-270.26: 90-270.31(b). 

.0110 FOREIGN-TRAINED PHYSICAL 
THERAPISTS 

(a) English Translations. All application forms and 
supportmg documents must be in English or accompanied by 
an English translation. 

(b) Supporting Documents. In addition to the other 
requirements of this Section and G.S. 90-270.30, each 
foreign-trained applicant must submit the following: 

(1) If the applicant has been graduated from a 
physical therapy educational program, a certifi- 
cation of physical therapy education is to be 
submitted directly to the Board. 

(2) If the applicant does not meet the requirements 
of (b)(1) of this Rule, the Board shall examine 
the applicant's educational background to deter- 
mine if the general college and professional 
instruction is substantially equivalent to that of a 
United States physical therapy educational 
program. At a minimum, 120 semester hours of 
college education is required, which includes a 
minimum of 57 semester hours of professional 
curriculum, including basic health sciences, 
clinical sciences and clinical education. It is the 
responsibility of the applicant to make arrange- 



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PROPOSED RULES 



ments with a credentialing service to have the 
credentials evaluated. Evaluation of credentials, 
to be acceptable to the Board, must be done by 
a service that has a physical therapist consultant 
on its staff. The Board will make its own 
review of appUcant's educational program and is 
not bound by the findings of the credentialing 
service. 

(3) Proof Qccoptablo to the Board that a minimum 

Gooro of 210 hao boon obtain e d on th e TSE (T e st 
of Spokon Englioh) or proof th e SPEAK (Sp e ak 
ing Proficioncy English Assossmont Kit) oxami 
nation adminigtorod prior to July 1, 1995, or for 
oxaminationo administ e r e d on or after July 1, 
1995 a minimum ooore of '15 will b e r e quir e d on 
the TSE oxamination. — or that English i s tho 
applicant's native language. 

(3) Proof acceptable to the Board must be provided 
that: 

(A) for examinations administered prior to July l^ 
1995, the required minimum score of 210 on 
the TSE (Test of Spoken English) or the 
SPEAK (Speaking Proficiency English Assess- 
ment Kit) examination was obtained, 

(B) for examinations administered on or after July 
J_i 1995, the required minimum score of 45 on 
the TSE examination or the SPEAK examina- 
tion was obtained, or 

(C) English is the applicant's native language. 

Statutory Authority G.S. 90-270.26; 90-270.29; 90-270.30; 
90-270.31. 

SUBCHAPTER 48F CERTIFICATES: FEES: 
INVESTIGATIONS: RECORD OF LICENSEES 

.0003 INVESTIGATIONS 

Any complaint relevant to alleged violations of the North 
Carolina Physical Therapy Practice Act must be made in 
writing, signed by the person submitting the complaint, and 
include his address. Complaints are to be sent to the 
executive o e orotar)' director . 

Statutory Authority G.S. 90-270.26; 90-270.35; 90-270.36. 

SUBCHAPTER 48G - RETENTION OF LICENSE 

SECTION .0500 - CONTESTED CASE HEARINGS 

.0504 COMPLAINTS AND INVESTIGATIONS 

(a) In order to file a complaint with the Board, the 
following information shall be submitted to the Board in 
writing: 

(1) name and address of person alleged to have 
violated Physical Therapy Practice Act, 

(2) succinct statement of conduct giving rise to 
complaint. 



(3) name, address and telephone number of com- 
plainant. 

(b) Upon receipt of a written complaint alleging miscon- 
duct that might subject a licensee to disciplinary action, or 
upon the receipt of confirmation that a violation of the 
Physical Therapy Practice Act has occurred, the Board may 
investigate such matter to determine whether probable cause 
exists to institute formal disciplinary proceedings. 

(c) TTie Exocutivo Socrotary executive director of the 
Board and a member appointed by the Chair shall serve as 
a probable cause or investigating committee. This commit- 
tee may be assisted by the Board's attorney or investigator 
or by a former member of the Board retained for the 
purpose of such investigation. 

(d) The probable cause committee shall investigate the 
complaint. The committee shall determine whether or not 
there is probable cause to believe that the licensee has 
violated any statute or board rule which would justify a 
disciplinary hearing. If the committee determines that such 
probable cause exists, the committee may confer with the 
licensee in an attempt to settle the matter through informal 
means. If the committee and the licensee reach an agree- 
ment on the disposition of the matter under investigation, 
the committee may cause to be drafted a proposed settlement 
agreement, which may include proposed findings of fact, 
conclusions of law, and a consent order, for presentation to 
and consideration by the Board. Such settlement agreement 
shall be presented to and approved by the licensee before 
they are presented to the Board for consideration and 
approval. 

(e) If the probable cause committee and the licensee are 
not able to settle the matter under investigation by informal 
means, the licensee may request a contested case hearing 
pursuant to Rule .0502 of this Section or the Board may 
give notice of a disciplinary or contested case hearing, if 
required. 

(f) If probable cause is found, but it is determined that a 
disciplinary hearing is not warranted, the committee may 
recommend that the Board issue a reprimand to the licensee. 
The committee shall mail a copy of its recommendation to 
the licensee. 

(g) Within 20 days after receipt of the recommendation, 
the licensee may refuse the reprimand and request a con- 
tested case hearing pursuant to this Section. Such refusal 
and request shall be filed with the Board. The legal counsel 
for the Board shall thereafter prepare, file, and serve a 
Notice of Hearing. 

(h) In the alternative, within 20 days after receipt of the 
recommendation, the licensee may request an informal 
meeting with the Board to discuss the basis of the commit- 
tee's recommendation and present reasons why the Board 
should not follow the committee's recommendation. There 
shall be no sworn testimony presented, nor shall there be a 
formal record of the proceedings. 

(i) If the licensee does not request a contested case 
hearing or an informal meeting with the Board, the Board 
shall determine whether to accept the committee's recom- 



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November 15, 1995 2109 



PROPOSED RULES 



mendation and issue the reprimand. A letter of caution is 
not considered disciplinary action against a licensee. 

(j) Participation by a current Board member in the 
investigation of a complaint shall disqualify that Board 
member from participating in the decision making process 
of a contested case hearing. 

(k) Subsequent to the issuance of a notice of hearing, the 
attorney prosecuting the contested case for the Board may 
not communicate, directly or indirectly, in connection with 
any issue of fact or question of law, with any party, 
including the members of the Board assigned to make a 
decision or to make findings of fact and conclusions of law 
in the contested case, except on notice and opportunity for 
all parties to participate. However, the attorney prosecuting 
the matter for the Board may continue to communicate 
concerning such contested case with the members of the 
probable cause committee who investigated such matter, 
with persons not parties to the contested case who may be 
called as witnesses, including the person who filed the 
complaint and with the Board members about other matters. 

Statutory Authority G.S. 90-270.26; 150B-38; 150B-4O. 

.0509 PETITION FOR INTERVENTION 

(a) A person desiring to intervene in a contested case 
must file a written petition with the Board's office. The 
petition shall bear the notation: PETITION TO INTER- 
VENE IN THE CASE OF (Name of Case). 

(b) The petition must include the following information: 

( 1 ) the name and address of petitioner; 

(2) the business or occupation of petitioner, where 
relevant; 

(3) a full identification of the hearing in which 
petitioner is s ee ing seeking to intervene; 

(4) the statutory or non-statutory grounds for inter- 
vention; 

(5) any claim or defense in respect of which inter- 
vention is sought; and 

(6) a summary of the arguments or evidence peti- 
tioner seeks to present. 

(c) If the Board determines to allow intervention, notice 
of that decision shall be issued promptly to all parties, and 
to the petitioner. In cases of discretionary intervention, 
such notification shall include a statement of any limitations 
of time, subject matter, evidence or whatever else is deemed 
necessary which are imposed on the intervenor. 

(d) If the Board's decision is to deny intervention, the 
petitioner shall be notified promptly. Such notice shall be 
in writing, shall identify the reasons for the denial, and shall 
be issued to the petitioner and all parties. 

Statutory Authority G.S. 90-270.26; I50B-38. 

SECTION .0600 - DISCIPLINARY ACTION 

.0601 PROHIBITED ACTIONS 

(a) Behaviors and activities which may result in disciplin- 



aty action by the Board pursuant to G.S. 90-270.36(1), (6), 
(7), (8) and (9) and G.S. 90-270.35(4) include, but are not 
limited to, the following: 

(1) recording false or misleading data, measure- 
ments or notes regarding a patient; 

(2) delegating responsibilities to a person when the 
licensee delegating knows or has reason to know 
that the competency of that person is impaired 
by physical or psychological ailments, or by 
alcohol or other pharmacological agents, pre- 
scribed or not; 

(3) practicing or offering to practice beyond the 
scope permitted by law; 

(4) accepting and pyerforming professional responsi- 
bilities which the licensee knows or has reason 
to know that he or she is not competent to 
perform; 

(5) performing, without adequate supervision, 
professional services which the licensee is 
authorized to perform only under the supervision 
of a licensed professional, except in an emer- 
gency situation where a person's life or health is 
in danger; 

(6) harassing, abusing, or intimidating a patient 
either physically or verbally; 

(7) failure to exercise supervision over persons who 
are authorized to practice only under the super- 
vision of the licensed professional; 

(8) exercising undue influence on the patient, in- 
cluding the recommendation of urmecessary 
treatment for the financial gain of the practitio- 
ner or of a third party; 

(9) directly or indirectly offering, giving, soliciting, 
or receiving or agreeing to receive, any fee or 
other consideration to or from a third party for 
the referral of a client; 

(10) failure to file a report, or filing a false report, 
required by law or by the Board, or impeding or 
obstructing such filing or inducing another 
person to do so; 

(11) revealing identifiable data, or information ob- 
tained in a professional capacity, without prior 
consent of the patient, except as authorized or 
required by law; 

(12) guaranteeing that a cure will result from the 
performance of professional services. 

(13) altering a license by changing the expiration 
date, certification number, or any other informa- 
tion appearing on the license; 

(14) using a license which has been altered; 

(15) jDermitting or allowing another person to use his 
or her license for the purpose of physical ther- 
apy. 

(16) delegating professional responsibilities to a 
person when the licensee delegating such respon- 
sibilities know or has reason to know that such 
a person is not qualified by training, by experi- 



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ence, or by licensure; 

(17) violating any term of probation, condition, or 
limitation imposed on the licensee by the Board; 

(18) inappropriately kissing, fondling, touching or 
engaging in any other activities of a sexual 
nature with a patient; 

(19) billing or charging for services or treatment not 
performed; 

(20) refusing to treat a patient because third party 
benefits have expired; 

(b) When a person licensed to practice physical therapy 
is also licensed in another jurisdiction and that other 
jurisdiction takes disciplinary action against the licensee, the 
North Carolina Board of Physical Therapy Examiners may 
summarily impose the same or lesser disciplinary action 
upon receipt of the other jurisdiction's actions. The licensee 
may request a hearing. At the hearing the issues will be 
limited to: 

(1) whether the person against whom action was 
taken by the other jurisdiction and the North 
Carolina licensee are the same person; 

(2) whether the conduct found by the other jurisdic- 
tion also violates the North Carolina Physical 
Therapy Act; and 

(3) whether the sanction imposed by the other 
jurisdiction is lawful under North Carolina law. 

(c) In accordance with G.S. 150B-3(c) a license may be 
summarily suspended if the public health, safety, or welfare 
requires emergency action. This determination is delegated 
to the Chairman or Executive S e or e tar>' Director of the 
Board pursuant to G.S. 90-270.26(8). Such a finding shall 
be incorporated with the order of the Board of Physical 
Therapy Examiners and the order shall be effective on the 
date specified in the order or on service of the certified copy 
of the order at the last known address of the licensee, 
whichever is later, and continues to be effective during the 
proceedings. Failure to receive the order because of refusal 
of service or unknown address does not invalidate the order. 
Proceedings shall be commenced promptly. 

(d) When the Board receives a notice from a Clerk of 
Superior Court that the license of a physical therapist or a 
physical therapist assistant has been forfeited pursuant to 
G.S. 15A-1331A, the licensee shall be required to surrender 
the license to the Board immediately and not to engage in 
the practice of physical therapy during the period of forfei- 
ture. Forfeiture under this section shall not limit in any way 
the Board's authority to take further disciplinary action 
against the licensee in accordance with the Board's rules and 
procedures. 

Statutory Authority G.S. 90-270.24; 90-270.26; 90- 
270.35(4); 90-270.36; 150B-3; 15A-1331A. 

SUBCHAPTER 48H - RULEMAKING AND 
ADMINISTRATIVE HEARING PROCEDURES 

SECTION .0100 - AVAILABILITY OF RULES 



.0102 INSPECTION OF RULES 

Official rules will be available for public inspection in the 
Office of Administrative Hearings or by making an appoint- 
ment with the executive soc rotary director . 

Statutory Authority G.S. 90-270.26; 150B-11; 150B-62. 

SECTION .0700 - ADOPTION OF RULES 

.0701 PETITIONS 

(a) Any person wishing to submit a petition to the Board 
requesting the adoption, amendment or repeal of a rule shall 
file the petition with the Board's Exocutivo Socrotary 
executive director at the address specified in 48 A .0001 of 
these Rules. 

(b) The petition shall contain the following information: 

(1) a proposed text of the rule to be adopted or 
amended or a citation to the rule to be repealed; 

(2) a statement of the reason for the proposal, 
including statutory authority; 

(3) effect of the proposed rule change on the prac- 
tice of physical therapy; 

(4) any data supporting the proposal; 

(5) name, address and telephone number of each 
petitioner. 

(c) The Board shall consider whether to grant or deny a 
petition at its next regularly scheduled meeting following 
receipt of a completed petition, but in any event, no more 
than 120 days after a completed petition is filed with the 
Board. 

(d) If the Board denies the petition, the petitioner shall be 
notified in writing, stating the reasons for the denial. If the 
decision is to approve the petition, the Board shall initiate a 
rulemaking proceeding by issuing a rulemaking notice, as 
provided in this Subchapter. 

Statutory Authority G.S. 90-270.26; 1508-20. 

CHAPTER 54 - BOARD OF PRACTICING 
PSYCHOLOGISTS 

Notice is hereby given in accordance with G.S. 
1508-21.2 that the North Carolina Psychology Board 
intends to amend rules cited as 21 NCAC 54 . 1605, . 1608, 
.1703 - .1705, .1802 - .1803, .1901. .1904, .2001 - .2002, 
.2007, .2101, .2103, .2201 - .2203; repeal rules cited as 21 
NCAC 54 .1604, .1801, .2003 - .2005, .2204; and adopt 
rules cited as 21 NCAC 54 . 1610, .2008 - .2009. 

Proposed Effective Date: March 1, 1996. 

A Public Hearing will be conducted at 10:00 a.m. on 
January 9, 1996 at the Howard Johnson Coliseum, 3030 
High Point Road, Greensboro, NC. 



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PROPOSED RULES 



Reason for Proposed Action: 

21 NCAC 54 .1604 - to repeal rule establishing procedure 
for investigating practice by non-licensed persons. 
21 NCAC 54 .1605 - to include costs for file documents, 
license verifications, and disciplinary action. 
21 NCAC 54 .1608 - to correct the name of an agency. 
21 NCAC 54 .1610 - to establish procedure for permitting 
limited practice by nonresident psychologists. 
21 NCAC 54 .1703 - to establish procedure for applying for 
a temporary license. 

21 NCAC 54 .1704 - to clarify review process for applica- 
tions. 

21 NCAC 54 .1705 - to correctly identify licensure level and 
require display of certificate. 

21 NCAC 54 .1801 - to repeal rule which is no longer 
applicable. 

21 NCAC 54 .1802 - to establish educational requirements 
at the Psychological Associate level. 

21 NCAC 54 .1803 - to establish educational requirements 
at the Licensed Psychologist level. 

21 NCAC 54 .1901 - to establish examination pass points 
and stipulate when examinations are offered. 
21 NCAC 54 .1904 - to clarify the effect of not appearing 
for an examination. 

21 NCAC 54 .2001 - to establish the requirements for 
super\'isors. 

21 NCAC 54 .2002 - to clarify the nature of supervision. 
21 NCAC 54 .2003 - to repeal provisions for contracting 
and reporting of supervision. 

21 NCAC 54 .2004 - to repeal time requirements for 
supervision. 

21 NCAC 54 ,2005 - to repeal provision for alternate 
superxision proposals. 

21 NCAC 54 .2007 - to clarity supervision for applicants 
and other nonlicensed individuals. 

21 NCAC 54 .2008 - to establish supervision requirements 
for a Psychological Associate license. 
21 NCAC 54 .2009 - to establish supervision requirements 
for a permanent Psychologist license. 
21 NCAC 54 .2101 - to set time for mailing renewal 
applications. 

21 NCAC 54 .2103 - to establish information required for 
reinstatement. 

21 NCAC 54 .2201 - to set requirements for corporate or 
company name. 

21 NCAC 54 .2202 - to establish information required to 
apply for corporate or company registration. 
21 NCAC 54 .2203 - to establish procedure for renewing 
corporate or company renewal. 

21 NCAC 54 .2204 - to repeal provision for suspending or 
revoking corporate certificate of registration. 

Comment Procedures: Comments may be submitted in 
writing or in person at the public hearing or in writing prior 
January 9, 1996 to Martha Storie, Executive Director, NO 
Psychology Board, 895 State Farm Road, Suite 102, Boone, 
NC 28607. Anyone wishing to submit oral comments at the 



hearing is requested to file a written statement in the 
Board's office no later than three days prior to the hearing, 
confirming that he or she wishes to speak at the hearing. 
Anyone presenting oral comments at the hearing is requested 
to provide a written statement of such comments to the 
Board when signing in on the morning of the hearing. 

Fiscal Note: These Rules do not affect the expenditures or 
revenues of local government or state funds. 

SECTION .1600 - GENERAL PROVISIONS 

.1604 PRACTICE BY NON-LICENSED PERSONS 

Tho Board rocoivcs and acts upon noticoB alloging that a 
fiorson is engaging in tho praotico of psychology without a 
lic e ns e . — Wh e n suoh a complaint ia r e c e iv e d, th e Board 
and/or its d e oignat e d ag e nt inv e stigat e s to d e t e rmine th e 
facts regarding tho allegations. — If ther e is evidence of a 
violation of the law, tho Board consults with the Attorney 
G e n e ral's Offic e aa to appropriat e action. 

Statutory Authority G.S. 90-270.9; 90-270.16; 90-270.17; 
90-270.19. 

.1605 FEES 

In addition to fees specified in G.S. 90, Article 18A, the 
following charges will be assessed for the indicated services: 

(1) eight dollars ($8.00) - copy of annual directory of 
licensed psychologists; 

(2) five dollars ($5.00) - copy of 21 NCAC 54; 

(3) two hundred dollars ($200.00) - renewal of li- 
cense; 

(4) the cost of the examination to the Board plus 
twenty-five dollars ($25.00) - national written 
examination; 

(5) one hundred dollars ($100.(X)) - state examination; 

(6) twenty five cents ($0.25) per page - copy of 
minutes of board meetings, meetings or transcript 
of hearing; hearing, or file documents; 

(7) one hundred dollars ($100.00) - application fee; 

(8) one hundred dollars ($100.00) - reinstatement fee; 

(9) twenty dollars ($20.00) - returned chock, check; 

(10) ten dollars ($10.00) - each written license verifica- 
tion, whether submitted individually or on a list; 
and 

(1 1) costs of disciplinary action when an applicant or 
licensee is found to be in violation of the North 
Carolina Psychology Practice Act as follows: 

(a) three hundred dollars ($300.00) - consent order: 
£b} three hundred dollars ($300.00) ; failure to 
appear on noticed hearing date or failure to give 
at least 72 hours notice of a request to continue 
the hearing; and 
(c) three hundred dollars ($300.00) per hour for a 

hearing which results in disciplinary action, with 
a minimum charge of three hundred dollars 



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PROPOSED RULES 



($300.00) for the First hour or portion thereof, 
and then prorated thereafter for each half-hour. 



Stamory Authority G.S. 12-3. 1(c); 90-270.9; 90-270. 15(c); 
90-270. 18(b)(c). 

.1608 ETHICAL VIOLATIONS 

The Board will use those policies, publications, guidelines, 
and casebooks developed by the American Psychological 
Association in determining whether violations of the Ethical 
Principles of Psychologists have occurred. In addition, 
publications, guidelines, policies, and statements provided 
by the Amorioan Asoociation of State Psychology Boards, 
Association of State and Provincial Psychology Boards, the 
National Association of School Psychologists, and other 
relevant professional associations and bodies may be used in 
interpreting the Ethical Principles of Psychologists. 

Statutory Authority G.S. 90-270.9; 90-270. 15(a)(l0). 

.1610 PRACTICE BY NONRESIDENT 
PSYCHOLOGISTS 

(a) Except as provided in Paragraph (c) of this Rule, the 
information required for each nonresident psychologist who 
wishes to practice psychology in this State for u£ to five 
days in a calendar year consists of: 

(1) verification and report on the status of licensure, 
including any disciplinary action which is pend- 
ing or has been taken from any jurisdiction in 
which the a pplicant is, or has been, licensed; 

(2) official, graduate college transcripts sent directly 
to the Board by the training institution(s); and 

(3) written report of the intended practice m this 
State and, if applicable, the name of the North 
Carolina psychologist(s) with whom the nonresi- 
dent psychologist will be consulting. 

All information must be received in the Board's office at 
least 30 days prior to the psychologist engaging in the 
practice of psychology in this State. 

{b} The psychologist's educational level, licensure status 
in another jurisdiction, and intended practice shall be 
considered iri determining whether or not supervision is 
required. If the Board determines that supervision is 
required, the applicant shall submit a notarized supervision 
contract form prior to practicing psychology in this State. 

(c) The Board shall waive the specified 30 day notice 
period, supervision, and the submission of the information 
described in Subparagraphs (a)(1) and (a)(2) of this Rule for 
nonresident licensed psychologists who are placed in North 
Carolina by the Red Cross due to a national, area, or local 
disaster. 

Statutory Authority G.S. 90-270.4(f); 90-270.9. 

SECTION .1700 - APPLICATION FOR LICENSURE 

.1703 TEMPORARY LICENSES 



(«) — A non rosidont who is a lioonaod psychologist in 
anoth e r s tat e may b e i ss ued a temporary license in North 
Carolina for a p e riod not to exceed 30 oone e outive buoinooo 
days, or 4 5 businosB day s in any 90 day poriod, provided 
the follov ^ 'ing is submitted to the Board and approved by the 
ohairp e raon: 

f4^ written v e rification of lioenoure or oortifioation 

from the appropriate licensing Board; 

(3) rep>ort of the natur e of intended practice; and 

(3^ tw e nty fiv e dollars ($25.00). 

(b) A non r e sid e nt, lio e noabl e payohologist may b e ioou e d 
a temporary license for the same poriod as specified in 
Paragraph (a) of this Rule, — provided the following i s 
oubmitted to the Board and approv e d by the chairp e r s on: 

(-^^ summary of qualifioationo. — including prof e s 

sional experience and educational training; 

(3) report of the nature of intended practice; and 

(3) nvonty five dollars ($25.00). 

(o) A payohologist v . 'ho come s to r es id e in North Carolina 
or on applicant for licensure who is othorv . 'iso qualified for 
licensing may bo i s sued a temporary license until the Board 
conducts its next r e gularly sch e dul e d lic e noing e xamination 
and th e applicant can bo notifi e d of th e r es ults, provid e d th e 
following are received and approved by the Board: 

(-H information listed in 21 NCAC 5 4 .1701 Infor 

mation R e quir e d and. if applicabl e , 21 NCAC 
51 .1702 Foreign D e gr ee Application Policy; 

m fifteen dollars ($15.00). 

This lic e nse cannot b e issu e d, r e issu e d, or e xt e nd e d if th e 
applicant choos e s not to tak e th e first schedul e d e xamination 
after being admitted, if the applicant fails the examination. 
or if the applicant has previously failed an examination, or 
if th e applicant ha s pr e viously fail e d to app e ar for an 
e xamination to which h e /sh e was admitt e d. 

fd^ — A psychologist who moots all requirement s of G.S. 
90 270.11(a) for licen s ing, except the two years of accept 
abl e and appropriat e e xp e ri e nc e , may be issu e d a temporar>' 
lic e ns e . — To upgrad e to p e rman e nt status, an application 
form must bo filod with the Board. — Final 3upor . 'ision 
reports will bo required from all p s ychologists who s o 
sup e p i 'ision tim e is not alr e ady docum e nt e d in th e appli 
cant's fil e . 

(a) The information required for each nonresident 
psychologist requesting a temporary license consists of: 

(1) verification and report on the status of licensure, 
including any disciplinary action which is pend- 
ing or has been taken from any jurisdiction in 
which the applicant is, or has been, licensed; 

(2) re quirements for licensure at the time the psy- 
chologist was licensed in another jurisdiction; 

(3) written report of the intended practice in this 
State and, if applicable, the name of the North 
Carolina psychologist(s) with whom the nonresi- 
dent psychologist will be consulting; and 

(4) temporary license fee. 

All information must be received in the Board's office at 



10:16C 



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PROPOSED RULES 



least 30 days prior to the psychologist engaging in the 
practice of psychology in this State. Only one temporary 
license shall be issued to an individual in any calendar year. 



The psychologist's educational level, licensure status in 
another jurisdiction, and intended practice shall be consid- 
ered in determining whether or not supervision is required. 
If the Board determines that supervision is required, the 
applicant shall submit a notarized supervision contract form 
prior to practicing psychology in this State. 

(b) The information required for each psychologist 
requesting a temporary license who is applying for reinstate- 
ment of licensure [s listed in 21 NCAC 54 .2103. A 
temporary license is valid until the applicant takes the first 
examination to which admitted by the Board, if applicable, 
and is notified of the results, and until the reinstatement fee 
is paid. This license will not be issued, reissued, or 
extended if the applicant fails the examination, fails to 
appear for the examination, or fails to remit the required 
fees within the time period stipulated in 21 NCAC 54 .2103. 
A temporary' licensee shall comply with supervision require- 
ments specified in Section .2000 of this Chapter for the 
same level of licensure for which application for reinstate- 
ment is made. 



to deny liconsuro. 

f4^ If lio e nour e ia denied, an e xplanation of tho 

grounds on which th e d e cision woo mad e is 
given and tho applicant is informed of his/hor 
right to an administrative hearing. — 

Statutory Authority G.S. 90-270.9: 90-270.15. 

,1705 ISSUANCE OF LICENSE 

An applicant who has met all of the requirements for 
licensure as either a practicing licensed psychologist or 
psychological associate is issued a certificate of licensure. 
This license shows the date, license number, licensee's 
name and academic degree upon which licensure is based, 
level of licensure, and the signatures of all current Board 
members. The official seal is affixed to each. A licensee 
shall display the licensure certificate in a place that is visible 
to the licensee's served clientele. 

Statutory Authority G.S. 90-270.9; 90-270. 1 1(a); 90- 
270.11(b); 90-270.13. 

SECTION .1800 - EDUCATION 



Statutory Authority G.S. 90-270. 5 (f),(g); 90-270.9. 

.1704 REVIEW PROCEDURE 

(a I A sub oommittcx) of the board reviews each applicant's 
credentials. — At tho next regularly s cheduled meeting of tho 
board, the sub committ ee reports on its appraisal of th e 
or e d e ntialo which ar e th e n consid e r e d by th e e ntir e board. 
(h) — If tho orodontial s are approved, the applicant is so 
mformed and is given information regarding the examination 
if applicabl e . 

(o) If the cred e ntials do not moot th e r e quir e d qualifica 
tionu for lic e n s ure, tho applicant is given an explanation of 
tho areas which arc considorod dofioiont and informed of 
his/h e r right to an administrativ e hearing. 

fd) If, during the review of information submitted with an 
application, questions arise from comments made in refer- 
ence letters or supervisor reports which may pertain to the 
ethical behavior or the moral character of the applicant, the 
Board may request additional information from references, 
supervisors, and the applicant. In addition, the Board may 
schedule an interview with the applicant concerning the 
questions raised by the application material, ouch qu e stions 
ar e dealt with in th e following mann e r: 

^4^ An effort is mad e to clarify tho particulars of 

any allegations by corre s pondence or telephone 
calls with th e p e rson who ha s mad e th e com 
m e nts and/or with th e applicant. 

(3) If tho questions are not resolved, tho applicant 

may bo asked to appear before tho board for an 
int e rs'i e w. 

(3^ Following any int e r . 'i e sv, th e Board conducts a 

full discussion of tho allegations and determines 
by formal vot e whether tho evidence i s sufficient 



.1801 PRACTICING PSYCHOLOGIST 

REQUIREMENTS AS OF JUNE 30, 1987 

(a) This rul e appli e s only to thos e practicing p s ychologist 
applicants who apply for a license on or before: 

i4^ July 1. 1989, or 

(3^ July 1. 1993, provid e d th e y w e r e e nroll e d in 

doctoral training programo on or b e for e D e c e rn 
ber 31. 19 8 7. and roooivod their doctoral degree 
after July 1. 1987. but on or before July 1, 
W9^ 
fb) — A doctoral d e gr ee in p s ychology from an accr e dited 
educational institution will bo considorod to be a planned 
and directed program of studios which is psychological in 
natur e . — If th e applicant do e s not poss e ss s uch a d e gr ee . 
e vid e nc e must b e provided that th e applicant's d e gr e e io 
from on accredited educational institution and is based on a 
program of planned and directed studies which is psyeholog 
ioal in natur e . — Such a program must: 

fB b e tak e n witliin a r e cognizabl e , coherent, organi 

zntional entity within the university which con 
tains on identifiable psychology faculty and a 
psychologist re s pon s ibl e for th e program; 

(3) includ e praoticum. internship, fi e ld e xp e ri e nces, 

or laboratory training appropriate to one's area 
of specialty and to tho practice of psychology; 

(^3 include a minimum of 60 s e mest e r hours of 

graduat e study in standard psychology cours e s: 
fA) — a maximum of six semester hours will be 

allowed for di s sertation/thesis, and 
f&^ — a maximum of six s e m e st e r hours will b e 
allow e d for intom s hip/practioum; 

(43 include instruction in: 

fA) — scientific and professional ethics and standards. 



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PROPOSED RULES 



(B) — rofloarch doaign and mothodology, and 
^G) — otatiotioo and psyohomotrioo; 

(5) ordinarily includ e a minimum of throo oomooter 

hours in oach of tho following substontivo con 
tont areas: 
(A) — biological baa e o of b e havior, 
(B) — cognitive aff e ctiv e bas e s of b e havior, 
{€) — social bases of behavior, and 
(©) — individual difforoncos. 
(c) If tho applicant wish e s to claim that oouroo work don e 
in d e partmonto oth e r than psychology should bo counted in 
meeting tho minimum hour roquiromont, ovidonco must be 
provided, in a form specified by tho Board, that s uch 
oouro e o ar e psychological in natur e . — This e vid e nc e shall 
oonsiot of: 

(+) a dosoription of tho coursos; 

(3) textbooks used; 

(3^ nam e of prof e ssors; 

(4) stat e m e nt of profosooro' membership in national, 

regional, and state psychological associations; 

f5) prof e ssors' lic e nsur e or c e rtification otatua. 

Statutory Authority G.S. 90-270.9; 90-270. 11 (a) (l)c. 

.1802 PSYCHOLOGICAL ASSOCIATE 

fft^ — Lic e nsur e for th e l e v e l of psychological associat e 
requires a master's degree in psychology. 

(b) — Any person in the regular employ of tho State of 
North Carolina or whos e e mploym e nt is includ e d und e r th e 
Stat e P e roonn e l Act who has sorT i 'ed in a position involving 
tho practice of psychology for five consecutive years by 
December 31, 19 84 , may apply under a master's equiva 
l e ncy provision. Ordinarily, 30 s e m e ster hours in graduat e 
l e vel — psychology — cours e s or cours e s docum e ntabl e — as 
psychological in nature will be considered to moot tho 
oquivolonco requirement. — A maximum of 6 semester hours 
will b e allow e d for diss e rtation/thesis and 6 semest e r hours 
for intemship/practicum. — If th e graduat e training did not 
ineludo a practicum or internship, work exporionco super 
vised by a liconsed or licensablo psychologist may bo 
substitut e d for such. — Th e mast e r' s e quival e ncy is also 
furth e r delineated in th e following maim e r: 

{i^ 12 semester hours in courses drawn from Gen 

oral Psychology, Social. Experimental, Physio 
logical. D e v e lopm e ntal, Histor)' or Syst e ms); 
(3) 6 s e m e st e r hours in Statistics and R e s e arch 



Design; 

(3^ 12 semester hours in a Specialty Area, which 

includ e s cours e work in th e ori e s or m e thods 
r e levant to practic e in th e sp e cialty or ar e a of 
emphasis and may include practicum and intom 

Soo 21 NCAC 51 .1801(0) for docum e ntation information. 

(a) Licensure for the level of psychological associate 

re quires a master's degree or specialist degree in psychology 

from an institution accredited by one of the regional accred- 



iting bodies recognized by the Commission on Recognition 
of Postsecondary Accreditation. The degree program shall 
meet all of the following requirements: 

(1) The program, wherever h may be administra- 
tively housed, shall be publicly identified and 
clearly labeled as a psychology program; such a 
program shall specify in pertinent institutional 
catalogues and brochures its intent to educate 
and train psychologists to engage in the activities 
which constitute the practice of psychology as 
defined in G.S. 90-270.2(8). 
The program shall stand as a recognizable, 
coherent organizational entity within the institu- 
tion. 



Ol 



01 



£4} 



(51 



£6} 



m 



m 



The program shall maintain clear authority and 
primary responsibility for the core and specialty 
areas whether or not die program crosses admin- 
istrative lines. 

The program shall have an identifiable body of 
students who are matriculated in that program 
for a degree. 

There shall be an identifiable full-time psychol- 
ogy faculty on site, sufficient in size and breadth 
to carry out its responsibilities, employed by and 
providing instruction at the home campus of the 
institution. 

There shall be a psychologist responsible for the 
applicant's program either as the administrative 
head of tlie program, or as the advisor, major 
professor, or committee chair for the individual 
applicant's program. 

The program in psychology shall be an inte- 
grated, organized sequence of study in psychol- 
ogy as demonstrated by an identifiable curricu- 
lum track or tracks wherein course sequences 
are outlined. 



The program shall encompass the equivalent of 
a minimum of one academic year of full-time 
graduate study in residence at the institution 
from which the degree is granted. Residence 
requires interaction with psychology faculty and 
other matriculated psychology students. One 
year's residence is defined as 30 semester hours 
taken on a full-time or part-time basis at the 
institution. 
(9) The program 



shall include internship, 



extemship, practicum. or other field experience 
appropriate to the area of specialty and the 
practice of psychology. This experience shall 
meet all of the following criteria: 
(A) It shall have been a planned and directed 
program of training in the practice of psychol- 
ogy, in contrast to on-the-job training, and 
shall have provided the trainee with a planned 
and directed sequence of training integrated 
with the educational program in which the 
individual was enrolled. 



10:16C 



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November 15, 1995 2115 



PROPOSED RULES 



(B) The training site shall have had a clearly 
designated and appropriately licensed psychol- 
ogist who was responsible for the integrity and 
quality of the training program. 

(C) Typically, the training shall have been com- 
prised of the equivalent of at least one semes- 
ter's training and shall have been a minimum 
of 12 weeks and 200 hours of supervised 
training. 

(D) TTie training program shall have had a written 
program description detailing its functioning 
and shall have been approved by the appli- 
cant's educational program prior to its occur- 
rence. 

(E) The training shall have provided a minimum of 
one hour per week of individual face-to-face, 
regularly scheduled supervision with the spe- 
cific intent of overseeing the psychological 
services rendered by the trainee. 

(F) At least 50% of the training shall have been 
spent in the provision of psychological services 
to patients or clients seeking assessment of 
treatment, and shall have been comprised of a 
range of assessment and treatment interven- 
tions. 

(G) Supervision may have been provided in part by 
psychiatrists, social workers, or other related 
professionals qualified by the training site, but 
at least 50% of supervision shall have been 
provided by an appropriately licensed or 
certified psychologist or psychological associ- 
ate, or other psychologist who ]s exempt from 
licensure under the North Carolina Psychology 
Practice Act. 

(H) Persons enrolled in the training shall have been 
designated as "interns", "extems", or 
"practicum students", or hold other designation 
which clearly indicated training status. 
( 10) The program of study shall include a minimum 
of 30 semester hours of graduate study in stan- 
dard psychology courses, exclusive of intem- 
ship/practicum and thesis/dissertation hours. 
These hours shall include: 

(A) 12 semester hours [n courses drawn from 
Academic Psychology (Social, Experimental. 
Physiological. Developmental. History and 
Systems); 

(B) 6 semester hours in Statistics and Research 
Design: and 

(C) 12 semester hours in a Specialty Area, which 
includes course work in theories or methods 
relevant to practice in the specialty or area of 
emphasis. 

(b) f&) An applicant whose credentials ha\e been ap- 
proved by the Board for examination at the practicing 
licensed psychologist level may be issued a license as a 
psychological associate if the applicant fails an examination 



at the pmoticing licensed psychologist level but passes such 
at the psychological associate level. To receive this license, 
the applicant must make a written request to the Board for 
licensure at the psychological associate level within 30 days 
from the date on which the applicant is notified of his/her 
examination score. 

Stututory Authority G.S. 90-270.2(5), (7), (8): 90-270.9; 90- 
270.11(b). 

.1803 LICENSED PSYCHOLOGIST 

(Q) This rule applies to all practicing psychologist appli 
cants making application after July 1. 1989. except thoso 
applicants who m(» e t all th e following requir e m e nts: 

(4^- w e r e e nroll e d in doctoral training programi) on 

or before Decembor 31, 19 8 7. and 

(3) reoeivod their doctoral degree after July 1. 19 8 7. 

but on or b e for e July 1. 1993. and 

f3^ mak e application on or b e for e July 1, 1993. 

Practicing Psychologist applicants mooting all the require 
ments spocifiod in Subparagraphs (a)(1). (a)(2), and (a)(3) 
of this Rul e shall b e consid e r e d und e r Rul e .1 8 01 Practicing 
Psychologist R e quir e m e nts as of Jun e 30, 19 8 7. 

(a) (bj License for the level of Psychologist requires a A 
doctoral degree based on a planned and directed program of 
studies in psychology from an institution accredited by one 
of the regional accrediting bodies recognized by the Counoil 
on Postsooondnry Accreditation Commission on Recognition 
of Postsecondary Accreditation, is required. The doctoral 
program must shall be one which was fully accredited by 
the American Psychological Association throughout th e 
period of the applicant's enrollment in at the time of the 
applicant's graduation from the program, or one which 
meets all of the following requirements: r e quir e m e nts, as 
d e t e rmin e d by th e board and docum e nted in a format 
s pecified by the board. 

(1) The program, wherever it may be administra- 
tively housed, must shall be publicly identified 
and clearly labeled as a psychology program; 
such a program must shall specify in pertinent 
institutional catalogues and brochures its intent 
to educate and train psychologists to engage in 
the activities which constitute the practice of 
psychology as defined in G.S. 90-270.2(8) . 

(2) The program must shall stand as a recognizable, 
coherent organizational entity within the institu- 
tion. 

(3) The program mmi shall maintain clear authority 
and primary responsibility for the core and 
specialty areas whether or not the program 
crosses administrative lines. 

(4) The program must shall have an identifiable 
body of students who are matriculated in that 
program for a degree. 

(5) TTiere mu s t shall be an identifiable full-time 
psychology faculty on site, sufficient in size and 
breadth to carry out its responsibilities, em- 



2116 



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PROPOSED RULES 



ployed by and providing instruction and/or 
program ooordination at the home campus of the 
institution. 

(6) There must shall be a psychologist responsible 
for the applicant's program either as the admin- 
istrative head of the program, or as the advisor, 
major professor, or committee chair for the 
individual applicant's program. 

(7) TTie program in psychology must shall be an 
integrated, organized sequence of study as 
demonstrated by an identifiable curriculum track 
or tracks wherein course sequences are outlined. 

(8) The program must shall encompass the equiva- 
lent of a minimum of three academic years of 
fiiU-time graduate aoad e mio study, two years of 
which are at the institution from which the 
degree is granted, and one year of which is in 
residence at the institution from which the 
degree is granted, grant e d, or its e quival e nt. 
Residence requires interaction with psychology 
faculty and other matriculated psychology st«- 
d e nto; students, ene One year's residence or its 
e quival e nt are is defined as follows: 30 semester 
hours taken on a full-time or part-time basis at 
the institution. 

(A) — 30 oomeoter hours tak e n on a full tim e or part 
tim e basis at tho institution, or 

(B) — a minimum of 300 hours of student faculty 
contact involving face to face — individual or 
group e ducational mootingo. — Such e ducational 
m ee tings must includ e both faculty stud e nt and 
student s tudent intoraction, bo conducted by 
tho psychology' faculty of tho institution at least 
90% of th e tim e , b e fully docum e nt e d by th e 
applicant and tho institution, and rolato sub 
stontially to tho program components spociFiod 
in Subparagraphs (b)( 9 ), (b)(10). and (b)(ll) 
of this Rul e . — The institution must oloarly 
docum e nt how th e applicant's p e rformanc e is 
ossossed and ovaluatod. 

(9) The program must shall include practicum, 
int e rnship, — field — e xp e ri e nc e s, — er — laboratory 
training mtemship, extemship, practicum. or 
other field experience appropriate to the area of 
specialty and the practice of psychology, psy- 
oholog)'; this e xp e ri e nc e must b e sup e rvis e d by 
a peyohologist. This experience shall meet all of 
the following criteria: 

(A) The training shall be a planned and directed 
program in the provision of health services, in 
contrast to "on the job" training, and shall 
provide the trainee with a planned and directed 
sequence of training integrated with the educa- 
tional program in which the individual was 
enrolled. 

(B) The training site shall have a written statement 
or brochure which describes its training pro- 



gram and is made available to prospective 
trainees. 
(C) Trainees shall be designated as "interns." 
fellows. " or "residents." or hold other designa- 
tion which clearly indicates training status. 
The training shall be completed within 24 
months. 
The training shall consist of at least 1500 



£D1 

in 
im 



hours of practice. 

The training site shall have a minimum of two 
doctorally trained licensed, certified, or license 
eligible psychologists at the training site as 
supervisors who have ongoing contact with the 
trainee. 

The training shall be under the direction of a 
licensed. certified, or license eligible 
doctorally trained psychologist who is on the 
staff of the training site, who approves and 
monitors the training, who is familiar with the 
training site's purposes and functions, who has 
ongoing contact with the trainee, and who 
agrees to assume responsibility for the quality, 
suitability, and implementation of the training 
experience. 
(H) The training shall provide a minimum of two 
hours per week of individual face-to-face 
discussion of the trainee's practice, with the 
specific intent of overseeing the psychological 
services rendered by the trainee. Supervision 
may be provided in part by psychiatrists, 
social workers, or other related professionals 
qualified by the training site, but at least 50% 
of supervision shall be provided by licensed, 
certified, or license-eligible doctorally trained 
psychologists. 
(I) In additional to individual supervision, the 
training site shall provide a minimum of two 
hours per week of instruction which may be 
met by group supervision, assigned reading, 
seminars, and similarly constituted organized 
training experiences. 
(10) The program of study must shall include a 
minimum of 60 semester hours of graduate study 
in standard psychology courses courses, exclu- 
sive of intemship/practicum and the- 
sis/dissertation hours, e xc e pt as allow e d in this 
Subparagraph. These hours wiH shall include 
instruction in scientific and professional ethics 
and standards, research design and methodology, 
statistics and psychometrics, and the specialty 
area. A maximum of six ci e m e ot e r hours will b e 
allowed for intomship/procticum and a maximum 
of six scmo s tor hours will bo allowod for tho 
sis/disc e rtation. — If th e applicant wish e s to utiliz e 
e e l e ot e d course work from oth e r than psychology 
departments or program s toward meeting the 
minimum — course — hour — roquiromonts — and/or 



10:16C 



NORTH CAROLINA REGISTER 



November 15, 1995 2117 



PROPOSED RULES 



curricular roquiromonts spccifiod in this Sub 
pamgmph and in Subpamgroph (b)(ll). evid e nc e 
muot bo provided, in a form s pecifi e d by th e 
board. — that ouoh courses are relevant to the 
applicant's organized sequence of study or that 
thoy are poychologioal in natur e . — This e vid e nc e 
shall consist of: 
(A^ — a description of the courses; 
fB^ — the textbooks used; 

(G^ — nam e , degr ee , and s p e cialty of the professor; 
f&) — stat e m e nt of prof e ssors' m e mb e rship in na 
tional. regional, and state psychological associ 
ations; 
fE4 — lic e nsur e or c e rtification status of the profos 

sors; and 
fF) — relevanc e — to specialty — afea — imd — organized 
sequence of study. 
(11) Ordinarily, th e The program mu s t shall include 

demonstrated competency in the four substantive 
content areas identified Subparagraph; typically, 
this will be met through a minimum of three 
semester hours in each of these content areas: 

(A) biological bases of behavior (e.g., physiologi- 
cal psychology, comparative psychology, 
neuropsychology, sensation and perception, 
psychopharmacology); 

(B) cognitive-affective bases of behavior (e.g., 
cognition, memory, learning, thinking, motiva- 
tion, emotion); 

(C) social bases of behavior (e.g.. social psychol- 
ogy, group processes, organizational and 
systems theory, cultural and ethnic bases, sex 
roles); 

(D) individual differences (e.g.. personality theory . 
human development, abnormal psychology, 
individual differences). 

^ — Two years of acceptable and appropriate supervised 
e xp e ri e nc e is as d e fin e d in 21 NCAC 51 .2001 Sup e rvi s or, 
.2002 Nature of Sup> e r < 'ioion. and .2001 Tim e R e quir e m e nts. 

Statutory Authority G.S. 90-270. 2(5), (6). (8): 90-270.5(d)(2); 
90-270.9; 90-270. 11 (a) 



vidod by the Professional Examination Sorvico. 
The EPPP assesses the applicant's knowledge of 
the subject matter of psychology and his/her 
understanding of professional and ethical prob- 
lems in the practice of psychology. Separate 
passing points for practicing psychologist and 
psychological — associate will — be — e otablioh e d 
utilizing the criterion referenced method. The 
passing point for licensed psychologist is set at 
140. The passing point for psychological associ- 
ate is set at 128. This examination is not re- 
quired for an applicant who has previously taken 
the EPPP and whose score meets the North 
Carolina passing point in this stat e , which was 
established for that particular administration date 
of the examination. 
(2) State Examination. The board Board adminis- 
ters to all approved applicants for licensure a 
board d e v e lop e d Board-de ve loped state examina- 
tion which assesses the applicant's knowledge of 
the North Carolina Practicing — Psychologist 
Lic e nsing Psychology Practice Act, selected 
rules of the Board covering such topics as 
education and supervision, and other materials as 
identified by the Board. A single passing point 
w+14 — be — e stablish e d — utilizing — the — orit e 
rion ref e renced method. The passing point for 
all licensees is set at 39^ 
(b) Oral Examination. The board Board may substitute 
oral examinations for the written examinations for a physi- 
cally handicapped applicant who is unable to take a written 
test. Such oral examinations will be administered on the 
same dates as written examinations. Additionally, upon 
proof that an applicant or licensee has engaged in any of the 
prohibited actions specified in G.S. 90-270. 15(a). the Board 
may administer a state oral examination which assesses 
knowledge of the North Carolina Practicing Psychologist 
Lic e nsing Psychology Practice Act, selected rules of the 
Board covering such topics as education and supervision, 
and other materials as identified by the Board. 

Statutory Authority G.S. 90-270.9; 90-270.11; 90-270. 15(b). 



SECTION .1900 - EXAMINATION 

.1901 TYPES 

(a) Written Examinations. National and state written 
examinations shall be are administered semiannually on 
testing dates set by the Association of State and Provincial 
Psychology Boards in April and October of each year. 
Dates are set by th e ^Am e rican Association of Stat e Psychol 
ogy Boards. Additionally, the state written examination 
shall be administered on testing dates set by the Board in 
January and July of each year. 

( 1 ) National Examination. TTie Board administers a 

current form of the Examination for Professional 
Practice in Psychology (EPPP). (EPPP) pro 



.1904 FAILURE TO APPEAR 

If an applicant does not appear for an examination on the 
first scheduled examination date to which admitted by the 
Boards he/she shall be permitted to take the examination on 
the next scheduled examination date without reapplying. If 
an applicant does not appear for examination on two 
consecutive examination dates, he/she shall totally reapply. 
If an applicant er does not appear for reexamination on the 
first scheduled examination date following failure of an 
examination, he/she must totally reapply. 

Statuton' Authority G.S. 90-270.9. 

SECTION .2000 - SUPERVISION 



2118 



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PROPOSED RULES 



.2001 SUPERVISOR 

(a) TTie following individuals may be recognized as an 
appropriate supervisor for any psychological associate or 
practicing provisional psychologist: psychologist, tcmporar)': 

(1) a licensed practicing psychologist, permanent; 
(3) profeooionals oth e r than poyohologisto, in koop 

ing with Rule .2005 in this S e ction; 

(2) (3^ any person who was in a psychology posi- 
tion with the State of North Carolina on Decem- 
ber 31, 1979, and who is still so employed, 
provided that such supervision is, and was on 
December 31, 1979, within the psychologist's 
regular job description and is only for activities 
which are part of the regular duties and respon- 
sibilities of the supervisee within his/her regular 
position at a state State agency or department; or 

(3) f4) a doctoral level licensed psychologist who is 
licensed in the state or province where the 
supervisee is practicing psychology, psychology : 
ef 

(§) an individual who, although not liconsod as a 

psychologist, ia. in th e opinion of the Board, 
trained as a psychologist. 

(b) TTie Board may disapprove an otherwise qualified 
supervisor for any psychological as s ociate or practicing 
ps>'ohologiot, t e mporaiy, if the potential supervisor, in the 
opinion of the Board, is not acceptable. Reasons for which 
a proposed supervisory relationship may be disapproved 
shall include, but not be limited to: 

(1) evidence that the potential supervisor is not 
competent or qualified to supervise the super- 
visee; 

(2) evidence that the sujjervisor has failed to adhere 
to ethical standards: 

(3) evidence that there is a lack of congruence 
between the potential supervisor's training, 
experience, and area of practice and the super- 
visee's proposed area(s) of practice; or 

(4) the supervisor has an encumbered license. 

(c) It is tho 3up>or\'i9or'3 rospwnsibility to provide the best 
posfliblo professional guidance which is mutually beneficial 
to both th e Bup e r < 'is ee and to th e public which h e /oha 
ultimat e ly s e rv e s. — It is th e sup e rvisor who s e rv e s as a 
primary' professional guardian of the supop i 'isoo. tho profos 
sion, and tho public. — Supor i 'isors are to carefully assess 
their own ability to m ee t th e particular neodo of potential 
sup e rvio ee o. — It lo e xp e ct e d that th e prof e ssional e xp e rtise 
and oxporionco of tho supervisor will parallel the oxpoctcd 
practice of the supervisee. — Should there bo some areas in 
which th e supervisor does not f ee l so qualifi e d, adjunct 
supervisors shall b e sought, although this additional super>'i 
sion is, in no way, to replace tho overall responsibility of 
tho primary supervisor. — Cloar professional goals shall be sot 
by th e suporvioor and sup e r i 'is ee for, and during, th e p e riod 
of sup e r . 'iBion and th e s e goals must b e evaluat e d on a 
regular basis. 

(c) Each supervisor shall: 



(1) carefully assess his/her own ability to meet the 
particular needs of potential supervisees; 

(2) offer and provide supervision only within the 
supervisor's own area(s) of competence and 
assure that the professional expertise and experi- 
ence of the supervisor parallel the practice of the 
supervisee; 

{3} serve as a primary professional guardian of the 
supervisee, the profession, and the public; 

(4) enter into a written agreement with the super- 
visee which details the supervisee's obligations 
as well as the supervisor's responsibilities to the 
supervisee; 

(5) assure that the supervisee only practices psychol- 
ogy within areas for which he/she is qualified by 
education, training, or supervised experience; 

(6) determine that the supervisee has given appropri- 
ate notice to clients or patients that he/she is 
being supervised as a trainee, applicant, or 
licensee, that clinical information will be dis- 
cussed with the supervisor, and the means by 
which the supervisor may be contacted; 

(7) establish and maintain a level of supervisory 
contact consistent with established professional 
standards, be accessible to the supervisee, and 
be fully accountable in the event that profes- 
sional, ethical, or legal issues are raised pertain- 
ing to the supervised practice; 

(8) keep informed of aU the services performed by 
the supervisee; 

(9) advise the Board if any complaints about the 
supervisee are received which indicate possible 
problems in the supervisee's competence or 
adherence to ethical standards, or if the supervi- 
sor has any reason to suspect that the supervisee 
is less than ethical or professional; 

(10) maintain detailed supervisory records including, 
but not limited to. dates of supervision, length of 
sessions, and issues discussed; 
(1 n report on the required form to the Board that 

agreed upon supervision has occurred; and 
(12) notify the Board in writing when supervision 

terminates and file a final supervision report. 
(d) In order to To maintain the professional nature of the 
supervision, a familial or strongly personal relationship shall 
not exist between the supervisor and supervisee, except in 
extra-ordinary circumstances, such as the unavailability of 
any other qualified supervisor. In such cases, the Board 
may require documentation that no other supervision is 
available and reference letters from colleagues commenting 
on the appropriateness of the proposed supervisory relation- 
ship. 

Statutory Authority G.S. 90-270.5: 90-270.9. 

.2002 NATURE OF SUPERVISION 

(a) The nature of supervision depends on the specific 



10:16C 



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November 15, 1995 2119 



PROPOSED RULES 



areas of practice, experience, and training germane to the 
area of specialty of the supervisee. Supervision shall 
include consideration of. but not be limited to, the following 
areas: 

(1) ethical standards and legal/professional guide- 
lines; 

(2) technical skills and competency; 

(3) supervisee's utilization of supervision; 

(4) supervisee's professional growth; and 

(5) supervisee's ability to function independently, 
fb) Supervision consists of face-to-face discussion of the 

supervisee's practice of those aspects of psychology for 
which supervision is required and shall be provided in 
individual sessions . 

(c) Each supervisee shall: 

( 1) attend scheduled supervision sessions; 

(2) provide his/her supervisor with a full disclosure 
of psychological services being offered and/or 
rendered by the supervisee; 

(3) cooperate fully with the supervisor to assure that 
all conditions in Paragraph (c) of Rule .2001 of 
this Section are met; 

(4) notify the Board if he/she has any reason to 
suspect that the supervisor is less than ethical or 
professional; and 

(5) notify the Board of any change in the conditions 
specified in the supervision contract form on File 
with the Board. 

(d) <-e4 The supervisee and his/her supervisor are 
expected to determine jointly which cases, issues, and 
techniques are most appropriate and necessary for supervi- 
sion, although both parties are fully accountable for all 
professional activities in terms of adequate standards of care 
and adherence to other relevant ethics principles. Specific 
supervision is not mandated for each person evaluated or 
treated, or for every treatment, evaluative technique, or 
professional activity undertaken. Supervisors are not 
required to sign or co-sign reports, treatment plans, letters, 
or other clinical documents for which the supervisee may be 
fully or in part responsible; neither is it necessary that such 
clinical documents reflect the supervisory process. Agencies 
are not, of course, precluded from requiring supervisor 
signatures or co-signatures. 

Statutory- Authority G.S. 90-270.5; 90-270.9. 

.2003 CONTRACTING AND REPORTING 

(q) a written, notarized supervision contract form, with 
the appropriate section oomplctod. must be filed with th e 
Board within 30 daya from th e dat e of lic e n s ur e by every 
psychological asixxiiat e and practicing p s ychologi s t, t e mpo 
rary. — A supervision contract form documents that either 
supervision is required and being received, or that supcrvi 
gion is not r e quir e d. — A n e w contract form must b e fil e d 
wittiin — 30 day s aft e r — a — substantial — chang e — conc e rning 
s upervision ocours. 

(b) It is the responsibility of a supervisor to report on the 



appropriate form to the Board that agreed upon supervision 
has occurr e d. — In addition, a s up e rvisor must inform the 
Board wh e n sup e rvision t e rminat es and fil e a final r e port. 
If not rec e iving s upervision, it is the responsibility of the 
psychological as s ociate or practicing psychologist, tempo 
rap , ', to report such on th e appropriat e form to th e Board. 
R e ports ar e r e quir e d annually at lic e nse ren e wal time for 
psychological associates and semiannually during June and 
at lic e n s e r e n e wal time for practicing psychologists, tempo 
rar>'. 

(c) Additional monitoring and reporting to the Board may 
be required in cases where previous evaluations or other 
information (e.g. reference letters, ethical complaints, etc.) 
sugg e st possibl e probl e ms in th e supervisee's comp e tence or 
adh e renc e to e thical standards. — Additional dooumontation or 
an intor i 'iow may bo required when questions arise regard 
ing the supcrs'lsee's practice duo to information supplied or 
omitt e d on s up e rvision contract forms and reports or when 
r e quir e d forms ar e not fil e d with the Board. 

(d) Contmet and report forma are provided by the Board. 



Statutory Authority G.S. 90-270. 2(f}: 
90-270.5(d): 90-270.9: 90-270. 15(e). 



90-270. 4(a2): 



.2004 TIME REQUIREMENTS 

(a^ — Practicing Psychologist. Temporary. — All activities 
involving th e practic e of psychology ar e subj e ct to r e view 
by a supervisor. 

f-H Individual super . 'ision sessions are as follows: 



No. of hours p e r w ee k 
engaging in the 



No. of hours of r e quir e d 
individual supervision 



practice of psychology 



per month 



1 10 



+4 — 30- 



-50- 



31 plus 



m- 



m- 



Individual s upervision sessions are to bo schod 
uled for no longer than 2 hours or less than 30 
minut es . 

Permanent s tatus r e quir e s at l e ast two full oalon 
dar years and 3100 hours of p>ost doctoral super 
vised practice. — Temporary' licen s ees are encour 
ag e d to meet this r e quir e m e nt through full time 
pmctio e . — Full tinw practic e is cr e dit e d bas e d on 
th« — number — &f — week s — of actual — practice. 
Part time — practice — i s credited — based — on the 
numb e r of hours p e r week of actual practic e . — A 
maximum of 31 hours may b e cr e dit e d for a 
week of actual practice. 

A temporar>' licensee who is employed full time 
and r e c e iving appropriat e sup e rvision, and who 
al s o e ngages in additional practic e , must obtain 
additional supervi s ion at a rate of at least one 
hour of supervision for every 4 hours per 



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PROPOSED RULES 



month of pmotioo. but not lo ss than one hour per 
month for any month in which ouoh praotio e 
ooouro. — A oeparat e sup e rvi s ion oontraot form 
must bo filod for thoso activities. 



270.5(d); 90-270.9. 

.2005 ALTERNATE SUPERVISION 
REQUIREMENTS 



(b) Psychological Associato. — Activities involving overall (a) In liou of the requirements for s upop i 'i s ion of psycho 



poroonality appraisal or olaooifioation. p e rsonality oounooling 
or poroonality readjustm e nt toohniqu e s ar e subj e ct to review 
by a supervisor. 

{4^ Individual supor>'ision sessions are as follows: 



No. of hours p e r month 
engaging in activities 



No. of hours of required 
individual supervision 



that require supervision 



4 lO- 



per month 



+4 — 30- 



logioal Qooooiat e o stat e d in Rul e .2001 in this S e ction, 
governm e ntal agencie s and/or privat e organizations involv e d 
in the practice of psychology may submit alternative 
supors'ision plan s for one or more psychological associates. 
To b e approv e d by th e Board, th e applicant ag e ncy or 
organization must d e monstrate that ouoh alternativ e sup e p i 'i 
s ion plans meet one of the following conditions: 

f4-) that compliance with the stxmdard aupor i 'ision 

r e quirem e nts — would — constitute — a — oignifioant 
hard s hip; or 

(3^ that the alternative plan would provide signifi 

cantly superior supoP i 'ision. 
(b) If one of th e conditions stat e d in Paragraph (a) of this 
Rul e can b e m e t, th e n oup e r i 'ision from anoth e r psychologi 
cal associate, a licensed practicing psychologist, temporary, 
or a professional from a related discipline may bo acceptable 
if th e Board oonours that this supervi s ion would b e compa 
rabl e in quantity and quality to th e individual sup e rvision 
employment, — a separate — superv i sion contract requirement under Rule .200 4 of this Section. — The follow 

ing guidelines must bo mot: 

(4^ at l e ast 50 p e rc e nt of th e oup e rs'ision must b e 

provid e d in individual s e ssions; 



34 — 30- 



31 plus 4 

Individual supor i 'ision sessions are to bo sched 
uled for no longer than 2 hours or loss than 30 
minut e s. 
(3) If engaging in praotio e in addition to r e gular 



form must bo filed with the Board. — Additional 
ouper . 'ioion at th e sam e rat e as sp e oifi e d in th e 
tabl e in Subparagraph (b)( 1 ) of this Rul e must b e 
obtained from a practicing psychologist, perma 
nent. for the additional activities that require 
Bup e r\'ioion. 
(o) Ex e mptions. The following lic e ns ee s ar e e x e mpt from 
requirements spocified in thi s Rule: 

(4-) practicing psychologists. temf>oraiy, who are not 

pr e s e ntly involv e d in the practice of p s ychology. 
\Vh e n suoh is th e cas e , th e Board will plac e th e 
psychologist on inactive status, during which 
time the license must be kept rencv . 'ed. — In order 
to r e activat e th e lic e ns e , th e practicing psyoholo 
gist, temporary, must arrang e to r e c e ive super i 'i 
sion and file the appropriate soction of a suporvi 
sion contract form with the Board. 



9¥ 



-psy^ 



oholoeioal — associat e s — whos e 



-pfe- 



f e soional 



practic e i o limit e d to activiti es oth e r than ov e rall 
personality appraisal or classification, personal 
ity counseling or personality readjustment tech 
niqu e s; 

(3) psychological associat e s who ar e e mploy e d by 

the State Department of Public Instruction or 
local boards of education, and whoso profos 
sional activities ar e limit e d only to thos e for 
which th e y ar e e mployed by thos e ag e nci e s. 
This exemption does not apply to those individu 
als who contract with the Department of Public 
Instruction or local boards of e ducation for the 
d e liv e ry of poychologioal sop . 'ioos in th e schools. 



Statutory Authority G.S. 90-270. 2(f): 90-270.4(a2); 90- 



(¥) s upervision m groups is credited on a ratio 

basis, w i th the number of hours of group super 
vision divid e d by th e numb e r of thos e partioipat 
ing e qualing th e amount of oup e rvision tim e 
credited to each psychological associato; 

f3^ staff meetings, quality a s surance meetings, and 

s imilar groupings will not b e consid e r e d as 
sup e rvision for th e s e purpos e s; 

{4) the alternative s upervi s ion plan must be ro 

viewed, approved, and monitored by a licensed 
pr a cticing — poyohologiot, — p e rman e f Hh — who — is 
familiar with th e ag e ncy's purpos e s and func 
tions, and agrees to assume responsibility for the 
quality, suitability, and implementation of the 
plan throughout its duration; 

(5) th e applicant ag e ncy or organization must submit 

individual oontrocta for all psychological associ 
atos under the plan, s pecifying the nature and 
e xt e nt of th e ir participation in plan compon e nts. 

Statutory Authority G.S. 90-270.20; 90-270.9. 

.2007 APPLICANTS AND OTHER 

NONLICENSED ESTDIVIDUALS 

(a) Except as provided for in this Rule and in TA NCAC 
54 . 1610, applicants Applicants and individuals who have 
yet to apply shall not practice or offer to practice psychol- 
ogy without supervision. All activities comprising the 
practice of psychology are subject to review by a supervi- 
sor^ except those activities which are exempt from licensure 



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PROPOSED RULES 



as stipulated in G.S. 90-270.4 . A minimum of one hour per 
week of regularly scheduled face-to-face individual supervi- 
sion is required in any week in which an applicant or 
nonlicensed individual practices psychology . Supervision 
mu s t shall be provided by an individual who may bo is 
recognized as an appropriate supervisor of licensees as 
defined in Rule .2001 of this Section. 

(b) An applicant or a nonlicensed individual who is not 
practicing or offering to practice psychology in North 
Carolina is not required to receive supervision. 

(c) An applicant fFUJSt shall keep a written, notarized 
supervision contract form on file in the Board's's office at 
all times. A supervision contract form documents that either 
supervision is required and being received, or that supervi- 
sion is not required. 

(d) An initial supervision contract form must shall be 
filed along with the application form. A new supervision 
contract form is required to be filed within 30 days of a 
change in the conditions specified in the supervision contract 
form on file with the Board. 

(e) Supervision reports mu s t shall be submitted at any 
time when the supervisor has concerns regarding the 
supervisee's performance, upon termination of supervision, 
and when there is a change in the conditions specified in the 
supervision contract form on file with the Board. Addi- 
tional monitoring and reporting to the Board may be 
required in cases where previous evaluations or other 
information (e.g., reference letters, ethical complaints, etc.) 
suggest possible problems in the supervisee's competence or 
adherence to ethical standards. Additional documentation or 
an interview may be required when questions arise regard- 
ing the supervisee's practice due to information supplied or 
omitted on supervision contract forms and reports or when 
required forms are not filed with the Board. 

(f) Contract and report forms are provided by the Board. 

Statutory Authority G.S. 90-270.5)0: 90-270.9. 

.2008 PSYCHOLOGICAL ASSOCIATE 

(a) A Psychological Associate is required to receive 
supervision for activities specified in G.S. 90-270. 5(e) and 
21 NCAC 54 .2006. Supervision shall be provided by an 
individual who is recognized as an appropriate supervisor as 
defined in Rule .2001 of this Section. 

(b) A written, notarized supervision contract form shall 
be filed with the Board within 30 days from the date of 
licensure. A new contract form is required to be filed 
withm 30 days of a change in the conditions specified in the 
supervision contract form on file with the Board. A 
supervision contract form documents that either supervision 
is required and being received, or that supervision is not 
required. 

(c) A supervisor shall report to the Board that agreed 
upon supervision has occurred and file a final report when 
supervision terminates. If not receiving supervision, it is 
the responsibility of the Psychological Associate to report 
such to the Board. A report is required to be submitted to 



the Board within 30 days after receiving written notification 
from the Board that such is due. Additionally, a supervision 
report shall be submitted when there is a change in the 
conditions specified in the supervision contract on file with 
the Board. 

(d) Additional monitoring and repxarting to the Board may 
be required in cases where previous evaluations or other 
information (e.g. reference letters, ethical complaints, etc.) 
suggest possible problems in the supervisee's competence or 
adherence to ethical standards. Additional documentation or 
an interview may be required when questions arise regard- 
ing the supervisee's practice due to information supplied or 
omitted on supervision contract forms and reports or when 
required forms are not filed with the Board. 

(e) In all cases, the specific terms of the supervision 
arrangement are the responsibility of the supervising 
psychologist. The education, training, experience, and 
ongoing performance of the super\ isee must be considered 
and the arrangement must be agreed to by both the supervi- 
sor and the supervisee. The frequency and comprehensive- 
ness of supervision may, at the discretion of the supervising 
psychologist, be modified. Generally, such supervision 
shall occur weekly. However, in no case shall supervision 
occur less than one hour monthly. Ultimately, the supervis- 
ing psychologist of record must adequately protect the 
welfare of the client and be consistent with North Carolina 
law and professional ethics. 

(f) Contract and report forms are provided by the Board. 

(g) Psychological Associates whose professional practice 
is limited to those activities other than those specified in 
G.S. 90-270. 5(e) and 2i NCAC 54 .2006 as requiring 
supervision are not required to receive supervision. 

(h) Psychological Associates who are employed by the 
State Department of Public Instruction or local boards of 
education, and whose professional activities are limited only 
to those for which they are employed by those agencies, are 
not required to receive supervision. This exemption does 
not apply to individuals who contract with the Department 
of Public Instruction or local boards of education for the 
delivery of psychological services which otherwise require 
supervision in the schools. 

Statutory Authority G.S. 90-270. 4(c); 90-270. 5(e): 90-270.9. 

.2009 LICENSED PSYCHOLOGIST 

[aj To be issued a permanent license at the Psychologist 
level, an applicant shall document a minimum of two 
calendar years and 3000 hours of supervised practice, of 
which at least one calendar year and 1500 hours of super- 
vised practice shall be accrued at the postdoctoral level. 

(b) A psychologist who meets all other requirements for 
a permanent license except the two \'ears of supervised 
experience shall be issued a provisional license at the 
Psychologist level and shall comply with supervision 
requirements specified in this Rule. 

(c) Provisional licensees who are not practicing psychol- 
ogy are not required to receive supervision. 



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(d) Predoctoral supervised experience shall meet the 
criteria specified in 21 NCAC 54 ■1803(a)(9) to be credited 
toward meeting one year of the required supervised experi- 
ence. 

(e) Postdoctoral supervised experience shall meet all of 
the following criteria: 



(b) The form may require the licensee to supply informa- 
tion including, but not limited to, the following: current 
addresses; area of specialty; principal setting of practice; 
whether or not the licensee received any formal continuing 
education during the past year; report on all supervision 
contract forms on file with the Board if lio e no e d at tho 



m 

£2} 
141 



At least one hour per week of face-to-face. poyohologioal associat e or practicing poyohologist tompo 



individual supervision shall be provided. 
One year of supervised experience shall consist 
of a minimum of one calendar year, include 
1500 hours of supervised experience, and be 
completed within a consecutive four-year period. 
Supervision shall be provided for the practice of 
psychology as defined by G.S. 90-270.2(8). 
Supervision shall be provided by an individual 
who is recognized as an appropriate supervisor 
of licensees as defined in Rule .2001 of this 
Section. 



(f) A written, notarized supervision contract form shall be 
filed with the Board within 30 days from the date of 
licensure. A new contract form is required to be filed 
within 30 days of a change in the conditions specified in the 
supervision contract form on file with the Board. A 
supervision contract form documents that either supervision 
is required and being received, or that supervision is not 
required. 

(g) A supervisor shall report to the Board that agreed 
upon supervision has occurred and file a final report when 
supervision terminates. If not receivin g supervision, it is 
the responsibility of the provisional licensee to report such 
to the Board. A report is required to be submitted to the 
Board within 30 days after receiving written notification 
from the Board that such is due. Additionally, a supervision 
report shall be submitted when there is a change in the 
conditions specified in the supervision contract on file with 
the Board. 

(h) Additional monitoring and reporting to the Board may 
be required in cases where previous evaluations or other 
information (e.g. reference letters, ethical complaints, etc.) 
suggest possible problems in the supervisee's competence or 
adherence to ethical standards. Additional documentation or 
an interview may be required when questions arise regard- 
ing the supervisee's practice due to information su pplied or 
omitted on supervision contract forms and reports or when 
required forms are not filed with the Board. 

(i) Contract and report forms are provided by the Board. 

Statutory Authority G.S. 90-270. 5(d); 90-270.9. 
SECTION .2100 - RENEWAL 

.2101 LICENSE RENEWAL FORM 

(a) The license renewal application form is mailed to each 
licensee in the fall of each even numbered year. It is a 
licensee's responsibility to renew his/her license in a timely 
manner, and to notify the Board if a renewal application 
form is not received. 



rar)', lovol . 

(c) Failure of a postal service to deliver the renewal 
application properly, or failure of a licensee to submit all 
required information on the appropriate form by any 
established statutory deadline, does not excuse the late fee 
or prevent license suspension. 

Statutory Authority G.S. 90-270.9; 90-270.14. 

.2103 REINSTATEMENT 

(a) The information required for each applicant requesting 
reinstatement of licensure within 30 days after a license has 
been suspended due to non-renewal consists of: 

(1) completed renewal application form; 

(2) completed supervision report form, if applicable; 
and 

(3) payment of the renewal and reinstatement fees. 
The information listed in this Paragraph shall be filed in the 
Board office within 30 days after a license has been sus- 
pended due to non-renewal. 

(b) fa) The information required for each applicant 
requesting reinstatement of licensure after a license has been 
suspended for more than 30 days due to non-renewal or 
after a license has been voluntarily relinquished with the 
Board's consent consists of: 

(1) typed, or legibly printed, notarized application 
form and supervision contract form; 

(2) completed information forms from present and 
past supervisors; 

(3) three completed reference forms from profes- 
sionals who are familiar with the applicant's 
current work, one of which is from a doctoral 
level psychologist; 

(4) verification and report on the status of licensure, 

including any disciplinary action which is pend- 
ing or has been taken information forms sent 
directly from other states and provinooa jurisdic- 
tions in which the applicant has applied for a 
license or has been licensed, if applicable; aed 

(5) official graduate college transcripts, not on file 
in the Board's office, sent directly to the Board 
by the training institution(s); and in3titution(3). 

(6) payment of the renewal and reinstatement fees 
within 30 days after receiving notification from 
the Board that reinstatement of licensure has 
been approved. 

An application must contain all requested materials to be 
complete. An incomplete application is active for three 
months from the date of application. At the end of such 
time, if still incomplete, the application is void, the appli- 



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PROPOSED RULES 



cant is deemed to have discontinued the application process, 
and the applicant shall totally rea pply. 

(c) (fe) Reexamination may be required for reinstatement. 

fe^ — Tho applicant must remit a spocial fee of Fiftoon 
dollars ($15.00) within 30 days after rooeiving notifioation 
from th e Board that th e application for r d instat e m e nt of 
lic e nsure has bo o n approved. 

Statutory Authority G.S. 90-270.9: 90-270. 15(f), (h). 

SECTION .2200 - PROFESSIONAL CORPORATION 



certificate of registration of a profoasional corporation upon 
receipt of the completed written application of the holder, 
accompanied by a fee of twenty-five dollars ($25.00). If the 
corporation or company does not apply for renewal of its 
certificate of registration before February 1, the certificate 
of registration shall be automatically suspended. It may be 
reinstated within the calendar year upon the payment of 
twenty-five dollars ($25.00) plus a penalty of ten dollars 
($10.00). 

Statutory Authority G.S. 55B-11; 90-270.9. 



.2201 CORPORATE OR COMPANY NAME 

The corporat e name of a professional psychological 
corporation or professional limited liability company must 
either: 

(1) reflect the offering of psychological services by 
including the term "psychology", or any of its 
derivatives such as "psychologic", "psychologi- 
cal " , or "psychologist", or bo tho same as one or 
more shareholders if only psychologists ar e shar e 
hold e rs, or 

(2) r e fl e ct — tlw — off e ring — of psychoth e rap e utic — and 
related sorvioos or include the name of one or 
more of the psychologist shareholders if both 
psychologJBtB and psychiatrists ar e shar e hold e rs . 

TTie use of any other name, title, or identification must be 
clearly referenced to or identify the corporate or company 
name (e.g. ABC Psychological Associates doing business as 
XYZ Clinic; XYZ Clinic: A Division of ABC Psychologi- 
cal Associates). Use of such names, titles, or identification 
must be filed with the Board. 



.2204 SUSPENSION OR REVOCATION OF 
CERTIFICATE OF REGISTRATION 

Th e Board may suspend or revok e a oortifioat e of rogiotra 
tion issued by it to a professional psychological corporation 
in accordance with G.S. 55B 13. 

Statutory Authority G.S. 55B-13; 90-270.9. 

CHAPTER 58 - REAL ESTATE COMAUSSION 

Notice is hereby given in accordance with G.S. 
150B-21.2 that the North Carolina Real Estate Com- 
mission intends to adopt rules cited as 21 NCAC 58 A .0113, 
.0510; 58C .0311 - .0312: 58E .0310, and amend rules 
cued as 21 NCAC 58A .0104, .0107, .0302, .0401 - .0402. 
.0502 - .0506. .0610, .1702, .1708. .1711; 58C .0104. 
.0305 - 0307; 58E .0203 - .0204. .0302 - .0304. .0406 - 
.0407, .0411. .0503, .0511. 



Statutory Authority G.S. 558-5; 55B-14; 90-270.9. 

.2202 CERTinCATE OF REGISTRATION 

The Board shall issue a certificate of registration to a 
professional corporation or professional limited liability 
company organized to render professional psychological 
services upon the submission and approval of the following: 

(1) notarized application for certificate of registration 
of prof e ssional — corporation — te — e ngag e — is — the 
practice of psychology : 

(2) fifty dollars ($50.00); and 

(3) certified copy by the Secretary of State of the 
Articles of Incorporation or Articles of Organiza- 
tion . 

TTie certificate of registration shall remain effective until 
January I following the date of such registration. 

Statutory Authority G.S. 55B-10; 90-270.9. 

.2203 RENEWAL OF CERTIFICATE OF 
REGISTRATION 

An application for renewal will be sent to each registered 
professional corporation and professional limited liability 
company prior to Januarv' 1 . The Board shall renew the 



Proposed Effective Dates: March 1, 1996 for all rules 
except 21 NCAC 58A .0502 which is proposed for January 
1, 1997. 

A Public Hearing will be conducted at 2:00 pm on January 
3 , 1996 at the North Carolina Real Estate Commission, 
1313 Navaho Drive, Raleigh, NC. 

Reasons for Proposed Actions: 

21 NCAC 58A .0104 - to codify the changes in the proce- 
dures for disclosing agency relationships. 
21 NCAC 58A .0107 - to codify requirement for property 
owner association funds to he treated as trust monies. 
21 NCAC 58A .0113 - to codify requirement for reporting 
criminal convictions. 

21 NCAC 58A .0302 - to refine procedure for submitting 
license applications. 

21 NCAC58A .0401. 0402 - to refine procedure for schedul- 
ing, administering, and grading examinations. 
21 NCAC 58A .0502 - to codify changes in licensing 
requirements for business entities engaging in real estate 
brokerage. 

21 NCAC 58A .0503. 0504. .0505 - to refine procedures for 
license renewal and reinstatement. 



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21 NCAC 58A . 0506 - to clarify that a salesman may only 
act under the supervision of one broker. 
21 NCAC 58A .0510 - to codify the cancellation of a 
salesman license upon the issuance of a broker license. 
21 NCAC 58A .0610 - to refine the procedure for issuing 
subpoenas. 

21 NCAC 58A .1702, 1708, .1711 -to codify changes in 
requirements and procedures concerning continuing educa- 
tion for real estate brokers and salesmen. 
21 NCAC 58C .0104, .0305, .0306, .0307 - to refine and 
clarify requirements and procedures for administering pre- 
licensing courses. 

21 NCAC 58C .0311 - to codify the required principal 
instructioru2l delivery methods to be used in pre-licensing 
courses. 

21 NCAC 58C .0312 - to codify allowable deviations from 
Commission rules regarding the conduct of pre-licensing 
courses when the rules conflict with an instructor's obliga- 
tion to comply with the Americans With Disabilities Act. 



21 NCAC 58E .0203, .0204, .0302. .0303, .0304, .0406, 
.0407, .0411, .0503, .0511 - to codify changes in proce- 
dures and standards for the real estate continuing education 
program. 

21 NCAC 58E .0310 - to codify the required principal 
instructional delivery methods to be used in continuing 
education elective courses. 

Comment Procedures: Comments regarding these rules 
may be made orally or submitted in writing at the public 
hearing. Written comments not submitted at the hearing 
may be sent to or delivered to Mr. Stephen L. Fussell % 
North Carolina Real Estate Commission, PO Box 17100, 
Raleigh, NC 27619-7100, so as to be received by December 
15, 1995. 

Fiscal Note: These Rules do not affect the expenditures or 
revenues of state or local government funds. 



SUBCHAPTER 58A - REAl. ESTATE BROKERS AND SALESMEN 
SECTION .0100 - GENERAL BROKERAGE 

.0104 AGENCY AGREEMENTS AND DISCLOSURE 

(a) Every listing agreement, buyer agency agreement or other agreement for brokerage services in a real estate sales 
transaction shall be in writing, shall provide for its existence for a definite period of time and shall provide for its termination 
without prior notice at the expiration of that period. 

(b) Every listing agreement, buyer agency agreement or other agreement for brokerage services in a real estate sales 
transaction shall contain the following provision: The broker shall conduct all his brokerage activities in regard to this 
agreement without respect to the race, color, religion, sex, national origin, handicap or familial status of any buyer, 
prosf)ective buyer, seller or prospective seller. The provision shall be set forth in a clear and conspicuous manner which 
shall distinguish it from other provisions of the agreement. 

(c) Every listing agreement, buyer agency agreement or other agreement for brokerage services in a real estate sales 
transaction shall incorporate the "Description of Agent Duties and Relationships" prescribed by the Commission which shall 
be set forth in a clear and conspicuous manner and shall not include or be accompanied by any additional text which 
contradicts its meaning and substance. The "Description of Agent Duties and Relationships" shall read as follows: 

DESCRIPTION OF AGENT DUTIES AND RELATIONSHIPS 

Before you begin working with any real estate agent, you should know who the agent represents in the transaction. Every listing agreement, 
buyer agency agreement or other agreement for brokerage services in a real estate sales transaction in North Carolina must contain this "Description 
of Agent Duties and Relationships" [NC. Real Estate Commission Rule 21 NCAC 58A .0104(c), eff. 7/1/95]. Real estate agents should carefully 
review this information with you prior to entering into any agency agreement. 

AGENTS' DUTIES 

When you contract with a real estate firm to act as your agent in a real estate transaction, the agent must help you obtain tlie best price and terms 
possible , whether you are the buyer or seller. The agent also owes you the duty to: 









• Safeguard and account for any money handled for you 




• Be loyal and follow reasonable and lawful instructions 






• Act with reasonable skill, care and diligence 




• Disclose to you any information which might influence your decision to buy c 






1 



Even if the agent does not represent you, the agent must still be fair and honest and disclose to you all "material facts" which the agent knows 
or reasonably should know. A fact is "material" if it relates to defects or other conditions affecting the property, or if it may influence your 
decision to buy or sell. This does not require a seller's agent to disclose to the buyer the minimum amount the seller will accept, nor does it require 
a buyer's agent to disclose to the seller the maximum price the buyer will pay. 



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PROPOSED RULES 



AGENTS WORKING WITH SELLERS 

A seller can enter into a "listing agreement" with a real estate firm authorizmg the firm and its agent(s) to represent the seller in finding a buyer 
for his property. TTie listing agreement should state what the seller will pay the listing firm for its services, and it may require the seller to pay 
the firm no matter who finds the buyer. 

TTie listing firm may belong to a listing service to expose the seller's property to other agents who are members of the service. Some of those 
agents may be working with buyers as buyers' agents; others will be working with buyers but still representing the sellers' interests as a agent 
or "subagent." When the buyer's agents and seller's subagents desire to share in the commission the seller pays to the listing firm, the listing agent 
may share the commission with the seller's permission. 

AGENTS WORKING WITH BUYERS 

A buyer may contract with an agent or firm to represent him (as a buyer's agent), or may work with an agent or firm that represents the seller 
(as a seller's agent or subagent). All parties in the transaction should find out at the beginning who the agent working with the buyer represents. 

If a buyer wants a buyer's agent to represent him in purchasing a propeny, the buyer should enter into a "buyer agency agreement" with the agent. 
The buyer agency agreement should state how the buyer's agent will be paid. Unless some other arrangement is made which is satisfactory 
to the parties, the buyer's agent will be paid by the buyer. Many buyer agency agreements will also obligate the buyer to pay the buyer's agent 
no matter who finds the property that the buyer purchases. 

A buyer may decide to work with a firm that is acting as agent for the seller (a seller's agent or subagent). If a buyer does not enter into a buyer 
agency agreement with the firm that shows him properties, that firm and its agents will show the buyer properties as an agent or subagent working 
on the seller's behalf. Such a firm represents the seller (not the buyer) and must disclose that fact to the buyer. 

A seller's agent or subagent must still treat the buyer fairly and honestly and disclose to the buyer all material facts which the agent knows or 
reasonably should know. The seller's agent typically will be paid by the seller. If the agent is acting as agent for the seller, the buyer should 
be careful not to give the agent any information that the buyer does not want the seller to know. 

DUAL AGENTS 

A real estate agent or firm may represent more than one party in the same transaction only with the knowledge and consent of all parties for whom 
the agent acts. "Dual Agency" is most likely to occur when a buyer represented by a buyer's agent wants to purchase a property listed by that 
agent's firm. A dual agent must carefully explain to each party that the agent and the agent's firm are also acting for the other party. 

In any dual agency situation, the agent must obtain a written agreement from the parties which fully describes the obligations of the agent and the 
agent's firm to each of them. 

Immediately after the "Description of Agent Duties and Relationships", every listing and buyer agency agreement shall 
contain the following provision, including a box which the agent shall check when the provision is applicable: "D This 
firm represents both sellers and buyers. This means that it is possible that a buyer we represent will want to purchase a 
property ouned by a seller we represent. When that occurs, the agent and firm listed above will act as dual agents if all 
parties agree. " 

(d) A broker or brokerage firm representing one party in a transaction shall not undertake to represent another party in 
the transaction without the express, written authority of each party. 

(e) In every real estate sales transaction, a broker or salesman working directly with a prospective buyer as a seller's agent 
or subagent shall disclose to the prospective buyer at the first substantial contact with the prospective buyer that the broker 
or salesman represents the interests of the seller. The broker or salesman shall make the disclosure on the "Disclosure to 
Buyer from Seller's Agent or Subagent" form prescribed by the Commission. If the first substantiail contact is by telephone, 
electronic, or other means, the broker or salesman shall mail or transmit a copy of this form to the buyer immediately, but 
in no event later than three days thereafter. 

(0 In everj' real estate sales transaction, a broker or salesman representing a buyer shall, at the initial contact with the 
seller or seller's agent, disclose to the seller or seller's agent that the broker or salesman represents the buyer's Interests. 
In addition, in every real estate sales transaction other than auctions, the broker or salesman shall, no later than the time of 
dehvery of an offer to the seller or seller's agent, provide the seller or seller's agent with a written confirmation disclosing 
that he represents the interests of the buyer. The written confirmation may be made in the buyer's offer to purchase. 

(g) The provisions of Paragraphs (c), (d) and (e) of this Rule shall not apply to real estate licensees representing sellers 
in auction sales transactions. 

(h) A broker or salesman representing a buyer in an auction sale transaction shall, no later than the time of execution of 
a written agreement memorializing the buyer's contract to purchase, provide the seller or seller's agent with a written 
confirmation disclosing that he represents the interests of the buyer. The written confirmation may be made in the written 
agreement. 



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PROPOSED RULES 



Statutory Authority G.S. 93A-3(c). 



.0107 HANDLEVG AND ACCOUNTING OF 
FUNDS 

(a) All monies received by a broker acting in his fiduciary 
capacity shall be deposited in a trust or escrow account not 
later than three banking days following receipt of such 
monies except that earnest money deposits received on 
offers to purchase real estate and tenant security deposits 
received in connection with real estate leases shall be 
deposited in a trust or escrow account not later than three 
banking days following acceptance of such offer to purchase 
or lease; the date of acceptance of such offer to purchase or 
lease shall be set forth in the purchase or lease agreement. 
All monies received by a salesman shall be delivered 
immediately to the broker by whom he is employed. 

(b) In the event monies received by a broker while acting 
in a fiduciary capacity are deposited in a trust or escrow 
account which bears interest, such broker shall first secure 
from all parties having an interest in the monies written 
authorization for the deposit of such monies in an interest- 
bearing account. Such authorization shall specify how and 
to whom the interest will be disbursed, and, if contained in 
an offer, contract, lease, or other transaction instrument, 
such authorization shall be set forth in a clear and conspicu- 
ous manner which shall distinguish it from other provisions 
of the instrument. 

(c) Closing statements shall be furnished to the buyer and 
the seller in the transaction at the closing or not more than 
five days after closing. 

(d) Trust or escrow accounts shall be so designated by the 
bank or savings and loan association in which the account is 
located, and all deposit tickets and checks drawn on said 
account as well as the monthly bank statement for the 
account shall bear the words "Trust Account" or "Escrow 
Account". 

(e) A broker shall maintain and retain records sufficient 
to verify the accuracy and proper use of his trust or escrow 
accounts, including, but not limited to: 

(1) bank statements; 

(2) canceled checks which shall be referenced to the 
corresponding transaction or owner ledger sheet; 

(3) deposit tickets and, if necessary, a supplemental 
worksheet for each dejxjsit ticket identifying the 
property and the parties to each transaction for 
which funds are deposited; 

(4) a separate ledger sheet for each sales transaction 
and for each owner of property managed by the 
broker identifying the property, the parties to the 
transaction, the amount, date, and purpose of the 
deposits and from whom received, the amount, 
date, check number, and purpose of disburse- 
ments and to whom paid, and the running bal- 
ance of funds on deposit for the particular 
transaction or owner of property; 

(5) a journal or check stubs identifying each transac- 
tion and showing a running balance for all funds 



in the account; 

(6) copies of contracts, leases and management 
agreements; 

(7) closing statements and property management 
statements; and 

(8) any other documents necessary and sufficient to 
verify and explain record entries. 

A broker shall maintain records of all receipts and disburse- 
ments of trust or escrow monies in such a manner as to 
create a clear audit trail from deposit tickets and canceled 
checks to check stubs or journals and to the ledger sheets. 
A broker must reconcile ledger sheets and his journals or 
check stubs to the trust or escrow account bank statements 
on a monthly basis. A broker shall create a worksheet for 
each such monthly reconciliation and retain it as part of his 
records. 

(0 All trust or escrow account records shall be made 
available for insjjection by the Commission or its authorized 
representatives in accordance with Rule 58 A .0108. 

(g) In the event of a dispute between the seller and buyer 
or landlord and tenant over the return or forfeiture of any 
dejxjsit other than a residential tenant security deposit held 
by a broker, the broker shall retain said deposit in his trust 
or escrow account until he has obtained a written release 
from the parties consenting to its disposition or until 
disbursement is ordered by a court of competent jurisdic- 
tion. 

(h) A broker may transfer earnest money deposits in his 
jxjssession collected in connection with a sales transaction to 
the closing attorney or other settlement agent not more than 
ten days prior to the anticipated settlement date. A broker 
or salesman shall not disburse prior to settlement any 
earnest money in his possession for any other purpose 
without the written consent of the parties. 

(i) The funds of a property owner association, when 
collected, maintained or disbursed by a licensee of the 
Commission, are trust monies and shall be treated as such 
in the manner required by this Rule. 

Statutory Authority G. S. 93A-3(c). 

.0113 REPORTING CRIMINAL CONVICTIONS 

Any broker or salesman who is convicted of any criminal 
offense (other than a minor traffic offense) must file with 
the Commission a written report of such conviction within 
60 days of the final judgment in the case. A form for this 
report is available from the Commission. 

Statutory Authority G.S. 93A-3(c); 93A-6(b)(2). 

SECTION .0300 - APPLICATION FOR LICENSE 

.0302 FILING AND FEES 

(a) Properly completed applications must be received in 
the Commission's office or postmarked not later than the 



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PROPOSED RULES 



filing date established by the executive director for a 
scheduled examination and must be accompanied by the 
appropriate fee. Once the application has been filed and 
processed, the application fee may not be refunded. 
(h) The following fees shall be charged: 

(1) application for new broker license .... $30.00, 

(2) application for new salesman license . . .$30.00. 
(c) The Commission may require an applicant to update 

information provided in connection with an application or to 
submit a newly completed application form as may be 
necessary to assure that the information provided is current- 
Failure to submit the required information within 60 days 
shall result in cancellation of the application. 

Statutory Authority G.S. 93A-4(a),(d). 

SECTION .0400 - EXAMINATIONS 

.0401 TIME AND PLACE 

(a) Examinations for broker's and salesman's licenses will 
be scheduled at such times and places as determined by the 
executive director. Applicants will be scheduled for 
examination based on the date of application filing in 
accordance with the Commission's published schedule of 
examination dates and application filing dates. Applicants 
will be given written notice of when and where to appear 
for examination. 

(b) Except as provided in Paragraph (c) of this Rule, an 
applicant who has been scheduled for a particular examina- 
tion date will not be rescheduled for a later examination date 
without filing another application and fee unless a request to 
be rescheduled is made at least 15 days in advance of the 
scheduled examination date. A scheduled examination date 
may only be jxistponed until one of the next two following 
scheduled examination dat e s, dates, even if the postpone- 
ment is due to an excused absence. A request to postpone 
a scheduled examination date without filing another applica- 
tion and fee will be granted only once unless the applicant 
satisfies the requirements for obtaining an excused absence 
stated in Paragraph (c) of this Rule. 

(c) An applicant may be granted an excused absence from 
a scheduled examination if he provides evidence satisfactory 
to the Commission that his absence was the direct result of 
an emergency situation or condition which was beyond the 
applicant's control and which could not have been reason- 
ably foreseen by the applicant. A request for an excused 
absence must be promptly made in writing and must be 
supported by appropriate documentation verifying the reason 
for the absence. A request for an excused absence received 
more than 15 days after the examination date will be denied 
unless the appUcant was unable to file a timely request due 
to the same circumstances that prevented the applicant from 
taking the examination. An applicant is limited to three 
excused absences without filing another application and fee. 

Statutory Authority G.S. 93A-4(b),(d). 



.0402 SUBJECT MATTER AND PASSING 
SCORES 

(a) Tlie salesman and broker examination shall test 
applicants on the following general subject areas: 

(1) real estate law; 

(2) real estate brokerage law and practices; 

(3) the real estate license law, rules of the Commis- 
sion, and the Commission's trust account guide- 
lines; 

(4) real estate finance; 

(5) real estate valuation (appraisal); 

(6) real estate mathematics; and 

(7) related subject areas. 

(b) In order to pass the salesman or broker examination, 
an appUcant must attain a score equal to at least 75 percent 
of the total point value for the questions on the examination. 
Passing applicants will receive only a score of "pass"; 
however, failing applicants will be informed of their actual 
score. A passing examination score obtained by a license 
applicant shall be recognized as valid for a period of one 
year from the date of examination, during which time the 
a pplicant must fully satisfy any remaining requirements for 
licensure that were pending at the time of examination; 
provided that the running of the one-year period shall be 
tolled by issuance of a notice of hearing regarding the 
applicant's qualifications for licensure until a final agency 
decision is rendered pursuant to G.S. 150B-42. The 
application of an applicant with a passing examination score 
who fails to satisfy all remaining requirements for licensure 
within one year shall be canceled and the applicant shall be 
required to reapply and satisfy all requirements for licen- 
sure, including retaking and passing the license examination, 
in order to be eligible for licensure. 

Statutory Authority G.S. 93A-4(b),(d). 

SECTION .0500 - LICENSING 

.0502 BUSINESS ENTITIES 

(a) Every business entity other than a sole proprietorship 
shall apply for and obtain from the Commission a firm 
license prior to engaging in business as a real estate broker. 
An entity which changes its business form shall be required 
to submit a new application. Incomplete applications shall 
not be acted upon by the Commission. Application forms 
for corporations partnerships, corporations, limited liability 
companies, associations and other business entities required 
to be licensed as brokers shall be available upon request to 
the Commission and eaH — for such information as tho 
corporat e nam e , shall set forth the name of the entity, the 
name under which the entity will do business, the address of 
its principal office, and a Ust of all brokers and salesmen 
associated with the entity. 

( 1) The application of any partnership, including a 
general partnership, limited partnership and 
limited liability partnership, shall also call for 
such information as a copy of its written partner- 



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PROPOSED RULES 



ship agreement or if no written agreement exists, 
a written description of the rights and duties of 
the several partners, a copy of any Certificate of 
Limited Partnership as may be required by law, 
past conviction of criminal offenses of any 
general or limited partner, past revocation, 
suspension, or denial of a business or profes- 
sional license of any general or limited partner, 
and the name and residence address of each 
general and limited partner. 

(2) The application of a limited liability company 
shall also call for such information as a copy of 
its Articles of Organization evidencing its au- 
thority to engage in the business of real estate 
brokerage, past conviction of criminal offenses 
of any manager or member, past revocation, 
suspension, or denial of a business or profes- 
sional license of any manager or member, and 
the name and residence address of each manager 
or member. 

(3) The application of a corporation shall also call 
for such information as a copy of its Articles of 
Incorporation evidencing its authority to engage 
in the business of real estate brokerage, and 
shall call for such information as past conviction 
of criminal offenses of any corporate director, 
officer, employee or shareholder who owns ten 
pereent or more of the outstanding shares of any 
class, past revocation, suspension, or denial of 
a business or professional license to any direc- 
tor, officer, employee or shareholder who owns 
ten percent or more of the outstanding shares of 
any class, the name and residence address of 
each director and officer of the corporation, and 
the name and address of each person, partner- 
ship, corporation, or other entity owning ten 
pereent or more of the outstanding shares of any 
class. 

(4) The application of any other business entity shall 
also call for such information as a copy its 
organizational documents evidencing its authority 
to engage in real estate brokerage, past convic- 
rion of criminal offenses of any principal in the 
company, past revocation, suspension or denial 
of a business or professional license of any 
principal, and the name and residence address of 
each principal. For purposes of this paragraph, 
the term "principal" shall mean any person or 
entity who owns or controls the business entity 
to any extent, whether officer, director, man- 
ager, member, partner or other. 

(b) A foreign corporation business entity shall further 
qualify by filing with its application for license a copy of its 
any certificate of authority to transact business in this state 
issued by the North Carolina Secretary of State in aooor 
danco with G.S. 55 15 01 which may be required by law 
and a consent to service of process and pleadings which 



shall be authontioatod by its corpomto seal and accompanied 
by a duly certified copy of the resolution of the general 
partners, managers or board of directors authorizing the 
proper partner, manager or offioors officer to execute said 
consent. 

(c) After filing a written apphcation with the Commission 
and upon a showing that at least one e x e cutiv e offioor 
principal of said corporation business entity holds a broker's 
Ucense on active status and in good standing and will serve 
as principal broker of the oor[>onition entity , the corporation 
entity shall be licensed provided it appears that the [appli- 
cant] corporation entity employs and is directed by person- 
nel possessed of the requisite truthfulness, honesty, and 
integrity. The principal broker of a partnership of any kind 
must be a general partner of the partnership, the principal 
broker of a limited liability company must be a manager of 
the company, and the principal broker of a corporation must 
be an officer of the corporation. 

(d) The licensing of a business entity oorpomrion shall not 
be construed to extend to the licensing of its partners, 
managers, members, directors, officers, aed employees or 
other persons acting for the entity in their individual 
capacities regardless of whether they are engaged in further- 
ing the business of the licensed corporation entity . 

(e) The principal broker of a corporation business entity 
shall assume responsibility for: 

(1) designating and assuring that there is at all times 
a broker-in-charge for each office and branch 
office of the corporation entity at which real 
estate brokerage activities are conducted; 

(2) renewing the real estate broker license of the 
corporation entity : 

(3) the proper display of the real estate license 
certificate of the corporation entity at the princi- 
pal office of the corporation entity at which real 
estate brokerage activities are conducted and a 
photocopy of such license at each branch office 
thereof; 

(4) notifying the Commission of any change of 
business address or trade name of the corpora 
tien entity and the registration of any assumed 
business name adopted by the corporation entity 
for its use; and 

(5) notifying the Commission in writing of any 
change of his status as principal broker within 
ten days following the change. 

(f) Every licensed business entity and every entity 
applying for licensure shall conform to all the requirements 
imposed upon it by die North Carolina General Statutes for 
its continued existence and authority to do business in North 
Carolina. Failure to conforming to such requirements shall 
be grounds for disciplinary action or denial of the entity's 
application for licensure. Upon receipt of notice from an 
entity or agency of this state that a licensed entity has ceased 
to exist or that its authority to engage in business in this 
state has been terminated by operatio n of law, the Commis- 
sion shall cancel the license of the entity. 



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PROPOSED RULES 



Statutory Authority G.S. 93A-3(c): 93A-4(a),(b),(d). 

.0503 LICENSE RENEWAL; PENALTY FOR 

OPERATING WHILE LICENSE EXPIRED 

(a) All real estate broker, salesman or corporate broker 
licenses issued by the Commission under Article 1 , Chapter 
93A of the General Statutes shall expire on the 30th day of 
June following issuance. Any licensee desiring renewal of 
a license shall apply for renewal within 45 days prior to 
license expiration by submitting a renewal application on a 
form prescribed by the Commission and submitting with the 
application the required renewal fee of thirty dollars 
($30.00). 

(b) B e ginning in 1995, any Any person desiring to renew 
his license on active status shall, upon the second renewal 
of such license following initial licensure, and upon each 
subsequent renewal, have obtained all continuing education 
required by G.S. 93A-4A and Rule .1702 of this Subchap- 
ter. 

(c) A person renewing a license on inactive status shall 
not be required to have obtained any continuing education 
in order to renew such license; however, in order to 
subsequently change his license from inactive status to active 
status, the licensee must satisfy the continuing education 
requirement prescribed in Rule .1703 of this Subchapter. 

(d) Any person or corporation which engages in the 
business of a real estate broker or salesman while his or its 
license is expired is subject to the penalties prescribed in 
Chapter 93A of the General Statutes. 

Statutory Authority G.S. 93A-3(c); 93A-4(c),(d); 93A-4A; 
93A-6. 

.0504 ACTIVE AND INACTIVE LICENSE 
STATUS 

(a) Except for licenses that have expired or that have been 
revoked, suspended or surrendered, all licenses issued by 
the Commission shall be designated as being either on active 
status or inactive status. The holder of a license on active 
status may engage in any activity requiring a real estate 
license and may be compensated for the provision of any 
lawful real estate brokerage service. The holder of a license 
on inactive status may not engage in any activity requiring 
a real estate license, including the referral for compensation 
of a prospective seller, buyer, landlord or tenant to another 
real estate licensee or any other party. A licensee holding 
a license on inactive status must renew such license and pay 
the prescribed license renewal fee in order to continue to 
hold such license. The Commission may take disciplinary 
action against a licensee holding a license on inactive status 
for any violation of Chapter 93 A of the General Statutes of 
North Carolina or any rule promulgated by the Commission, 
including the offense of engaging in an activity for which a 
license is required while a license is on inactive status. 

(b) Upon initial licensure, a salesman's license shall be 
assigned by the Commission to inactive status and the 
license of a broker or corporate broker shall be assigned to 



active status. The license of a broker, salesman or corpo- 
rate broker shall be assigned by the Commission to inactive 
status upon the written request of the licensee. A sales- 
man's license shall be assigned by the Cortmiission to 
inactive status when the salesman is not under the active, 
personal supervision of a broker-in-charge. A corporate 
broker's license shall be assigned by the Commission to 
inactive status when the corporation does not have a 
principal broker. A broker or salesman shall also be 
assigned to inactive status if, upon the second renewal of his 
license following initial licensure, or upon any subsequent 
renewal, he has not satisfied the continuing education 
requirement described in Rule .1702 of this Subchapter. 

(c) A salesman with an inactive license who desires to 
have such license placed on active status must comply with 
the procedures prescribed in Rule .0506(b) of this Section. 

(d) A broker with an inactive license who desires to have 
such license placed on active status shall file with the 
Commission a request for license activation on a form 
prescribed by the Commission containing identifying 
information about the broker, a liot of Commiaoion approved 
oontinuing e ducation oouro e o complet e d by th e broker within 
th e previous 30 days, a statement that the broker has 
satisfied the continuing education requirements prescribed by 
Rule .1703 of this Subchapter, the date of the request, and 
the signature of the broker. Upon the mailing or delivery 
of this form, the broker may engage in real estate brokerage 
activities requiring a license; however, if the broker does 
not receive from the Commission a written acknowledgment 
of the license activation within 30 days of the date shown on 
the form, the broker shall immediately terminate his real 
estate brokerage activities pending receipt of the written 
acknowledgement from the Commission. If the broker is 
notified that he is not eligible for license activation due to a 
continuing education deficiency, the broker must terminate 
all real estate brokerage activities until such time as the 
continuing education deficiency is satisfied and a new 
request for license activation is submitted to the Commis- 
sion. 

Statutory Authority G.S. 93A-3(c); 93A-4(d); 93A-4A; 93A-6. 

.0505 REINSTATEMENT OF EXPIRED 

LICENSE, REVOKED, SURRENDERED 
OR SUSPENDED LICENSE 

(a) Licenses expired for not more than 12 months may be 
reinstated upon projjer application and payment of the thirty 
dollar ($30.00) renewal fee plus five dollar ($5.00) late 
filing fee. In order to reinstate such license on active status 
for a lio e nse p e riod b e ginning on or aft e r July 1, 1995 , the 
applicant shall also present evidence satisfactory to the 
Commission of having obtained such continuing education 
as is required by Rule .1703 of this Subchapter to change an 
inactive license to active status. A person reinstating such 
a license on inactive status shall not be required to have 
obtained any continuing education in order to reinstate such 
license; however, in order to subsequently change his 



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PROPOSED RULES 



reinstated license from inactive status to active status, the 
licensee must satisfy the continuing education requirement 
prescribed in Rule .1703 of this Subchapter. 

(b) Reinstatement of licenses expired for more than 12 
months may be considered upon proper application and 
payment of a thirty dollar ($30.00) fee. Applicants must 
satisfy the Commission that they possess the current knowl- 
edge, skills and compK s tonco competence, as well as the 
truthfuhiess, honesty and integrity, necessary to function in 
the real estate business in a manner that protects and serves 
the public interest. In thie r e gard. To demonstrate current 
knowledge, skills and competence, the Commission may 
require such applicants to complete real estate education or 
pass the license examination or both. 

(c) Reinstatement of a revoked license may be considered 
upon proper application and payment of a thirty dollar 
($30.00) fee. Applicants must satisfy the same requirements 
as those prescribed in Paragraph (b) of this Rule for 
reinstatement of licenses expired for more than 12 months. 

(d) Reinstatement of a license surrendered under the 
provisions of G.S. 93A-6(e) may be considered upon 
termination of the period of surrender specified in the order 
approving the surrender and upon proper application and 
payment of a thirty dollar ($30.00) fee. Applicants must 
satisfy the same requirements as those prescribed in Para- 
graph (h) of this Rule for reinstatement of licenses expired 
for more than 12 months. 

(e) A suspended license shall be reinstated at the end of 
the period of active suspension upon payment of the license 
renewal fee for the current Ucense period; however, in order 
for the license to be reinstated on active status, the licensee 
shall be required to also demonstrate that he has satisfied the 
continuing education requirement for license activation 
prescribed by Rule .1703 of this Subchapter. 

Statutory Authority G.S. 93A-3(c); 93A-4(c),(d); 93A-4A. 

.0506 SALESMAN TO BE SUPERVISED BY 
BROKER 

(a) A salesman may engage in or hold himself out as 
engaging in activities requiring a real estate license only 
while his license is on active status and he is supervised by 
the broker-in-charge of the real estate firm or office where 
the salesman is associated. A salesman may be supervised 
by only one broker-in-charge at a time. 

(b) Upon a salesman's association with a real estate 
broker or brokerage firm, the salesman and the broker-in- 
charge of the office where the salesman will be engaged in 
the real estate business shall immediately file with the 
Commission a salesman supervision notification on a form 
prescribed by the Commission containing identifying 
information about the salesman and the broker-in-charge, a 
statement from the broker-in-charge certifying that he will 
supervise the salesman in the performance of all acts for 
which a license is required, the date that the broker-in- 
charge assumes responsibility for such supervision, and the 
signatures of the salesman and broker-in-charge. If the 



salesman is on inactive status at the time of associating with 
a broker or brokerage firm, the salesman and broker-in- 
charge shall also file, along with the salesman supervision 
notification, the salesman's request for license activation on 
a form prescribed by the Commission containing identifying 
information about the salesman, a lint of Commiooion 
approv e d continuing e ducation cours e s oomplotod by th e 
salosmon within tho previous 30 days, the salesman's 
statement that he has satisfied the continuing education 
requirements prescribed by Rule .1703 of this Subchapter, 
the date of the request, and the signatures of the salesman 
and the salesman's proposed broker-in-charge. Upon the 
mailing or deUvery of the required form(s) by tho broker in 
charg e, the salesman may engage in real estate brokerage 
activities requiring a license under the supervision of the 
broker-in-charge; however, if the salesman and broker-in- 
charge do not receive from the Commission a written 
acknowledgment of the salesman supervision notification 
and, if appropriate, the request for license activation, within 
30 days of the date shown on the form, the broker-in-charge 
shall immediately terminate the salesman's real estate 
brokerage activities pending receipt of the written acknowl- 
edgment from the Commission. If the salesman and broker- 
in-charge are notified that the salesman is not eligible for 
license activation due to a continuing education deficiency, 
the broker-in-charge shall cause the salesman to immediately 
cease all activities requiring a real estate license until such 
time as the continuing education deficiency is satisfied and 
a new salesman supervision notification and request for 
license activation is submitted to the Commission. 

(c) A broker-in-charge who certifies to the Commission 
that he will supervise a Ucensed salesman shall actively and 
personally supervise the salesman in a manner which 
reasonably assures that the salesman performs all acts for 
which a real estate Ucense is required in accordance with the 
Real Estate License Law and Commission rules. A super- 
vising broker who fails to supervise a salesman as pre- 
scribed in this Rule may be subject to disciplinary action by 
the Commission. 

(d) Up>on termination of his supervision of a salesman, a 
broker-in-charge shall immediately: 

(1) notify the Commission in writing setting forth 
the date of termination; and 

(2) give the salesman, in a form prescribed by the 
Commission, an accurate written statement 
regarding the number and type of properties 
listed, sold, bought, leased or rented for others 
by the salesman while under the supervision of 
the broker-in-charge. 

Statutory Authority G.S. 93A-2(b); 93A-3. 

.0510 CANCELLATION OF SALESMAN LICENSE 
UPON BROKER LICENSURE 

When a person holding a salesman license is issued a 
broker license, the person's salesman license shall be 
automatically cancelled. 



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PROPOSED RULES 



Statutory Authority G.S. 93A-3(c); 93A-4(d). 

SECTION .0600 - REAL ESTATE COMMISSION 
HEARINGS 

.0610 SUBPOENAS 

(a) Tho Ex e outivo Dir e ctor of th e CommiBBion and its 
Logal Counaol ahall havo the authorit)' to isBUO subpoonoa in 
tho name of tho Commisoion. — In tho Executive Director's 
abs e no e . the r e cording o e or e tar)' of tho CommioDion ohall 
have th e authority to isouo oubpo e noo in th e nam e of th e 
Commission. Subpoenas issued m preparation for, or in the 
conduct of. a contested case pending before the Commission 
shall be issued m the name of the Commission and shall be 
signed by tihe chairman, vice chairman, the officer presiding 
at the hearing if a member of the Commission other than the 
chairman or vice chairman has been designated to preside. 
or the Commission's executive director or legal counsel. 

(h) Th e CommisBion member d e signat e d to pr e sid e ov e r 
a oontostod case shall also have tho authority' to issuo 
subpoenas relating to that contested case. After a notice of 
hearing in a contested case has been issued and served upon 
a respondent or. in a case concerning an application for 
Ucensure. the applicant, the respondent, or the attomev for 
the respondent or applicant may request subpoenas for the 
attendance of witnesses and the production of evidence. 
The subpoenas may be signed by the respondent or appli- 
cant, or the respondent's or applicant's attorney. 

(c) All subpoenas issued in cormection with a contested 
case pending before the Commission shall be on a form 
approved by the Commission. Subpoena forms shall be 
provided by the Commission without charge upon request. 

(d) Motions to quash a subpoena issued in preparation 
for, or in connection with, a contested case pending before 
the Commission shall be submitted to the Commission in 
writing and shall clearly state the grounds therefor. The 
disposition of any motion to quash a subpoena shall be made 
by the chairman of the Commission in his discretion. If the 
chairman is unavailable, then the vice chairman or other 
Commission member designated to preside over the hearing 
may dispose of such a motion in the chairman's place. 

Statutory Authority G.S. 93A-6(a); 150B-38(h). 

SECTION .1700 - MANDATORY CONTINUING 
EDUCATION 

.1702 CONTINUING EDUCATION 
REQUIREMENT 

(a) In order to renew a broker or salesman license on 
active status for a lio e nBe period b e ginning on or aft e r July 
1, 1905 , the person requesting renewal of a license shall, 
upon the second renewal of such license following initial 
licensure, and upon each subsequent annual renewal, have 
completed, within one year preceding license expiration, 
eight classroom hours of real estate continuing education in 
courses approved by the Commission. Four of the required 



eight classroom hours must be obtained each license period 
by completing a mandatory update course developed 
annually by the Commission. The remaining four hours 
must be obtained by completing one or more Commission- 
approved elective courses covering acceptable subject matter 
as described in Rule .0305 of Subchapter 58E. The licensee 
bears the responsibility for providing, upon request of the 
Commission, evidence of continuing education course 
completion satisfactory to the Commission. 

(h) No continuing education shall be required to renew a 
broker or salesman license on inactive status; however, to 
change a license from inactive status to active status, the 
licensee must satisfy the continuing education requirement 
described in Rule .1703 of this Section. 

(c) No continuing education shall be required for a 
licensee who is a member of the North Carolina General 
Assembly to renew his license on active status. 

(d) The terms "active status" and "inactive status" are 
defined in Rule .0504 of this Subchapter. TTie term "initial 
Ucensure" means the first time that a license of a particular 
type is issued to a person. Thus, issuance of a broker 
license to a person previously licensed as a salesman is 
considered to be initial Ucensure; however, reinstatement of 
an expired, revoked or suspended Ucense does not constitute 
initial licensure. 

Statutory Authority G.S. 93A-3(c); 93A-4A. 

.1708 EQUIVALENT CREDIT 

(a) A licensee may request that the Commission award 
continuing education credit for a course taken by the 
licensee that is not approved by the Commission, or for 
some other real estate education activity, by making such 
request on a form prescribed by the Commission and 
submitting a nonrefundable evaluation fee of thirty dollars 
($30.00) for each request for evaluation of a course or real 
estate education activity. Such roquosts and all supporting 
docum e nta. with th e e xc e ption of applioationo from inotruo 
tors of continuing e ducation cours e s d e siring e quivalent 
credit — fef — teaching — Commisgion approved — continuing 
education courses, must bo rocoivod by tho Commission at 
l e ast 60 days prior to tho expiration of th e lic e ns ee 's curr e nt 
lic e ns e . In order for requests for equivalent credit to be 
considered and credits to be entered into a licensee's 
continuing education record prior to the June 30 license 
expiration date, such requests and all supporting documents 
must be received by the Commission on or before June 10 
preceding expiration of the licensee's current license, with 
the exception that requests from instructors desiring equiva- 
lent credit for teaching Commission-approved continuing 
education courses must be received by June 30. Any 
equivalent continuing education credit awarded under this 
Rule will be applied first to make up any continuing 
education deficiency for the previous two license periods 
and then to satisfy the continuing education requirement for 
the current license period; however, credit for an unap- 
proved course or educational activity, other than teaching an 



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approved elective course, that was completed during a 
previous license period may not be applied to a subsequent 
license period. 

(b) The Commission may award continuing education 
elective credit for completion of an unapproved course 
which the Commission finds equivalent to the elective 
course component of the continuing education requirement 
set forth in Section .0300 of Subchapter 58E. Completion 
of an imapproved course may serve only to satisfy the 
elective requirement and cannot be substituted for comple- 
tion of the mandatory update course. 

(c) Real estate education activities, other than teaching a 
Commission-approved course, which may be eligible for 
credit include, but are not limited to: developing a 
Commission-approved elective continuing education course, 
authorship of a published real estate textbook; and author- 
ship of a scholarly article, on a topic acceptable for continu- 
ing education purposes, which has been published in a 
professional journal. Each activity for which oontinuing 
education credit ia roquo3tod must have boon complotod 
within the current license period. The Commission may 
award continuing education elective credit for activities 
which the Commission finds equivalent to the elective 
course component of the continuing education requirement 
set forth in Section .0300 of Subchapter 58E. No activity 
other than teaching a Commission-developed mandatory 
ujxlate course shall be considered equivalent to completing 
the mandatory update course. 

(d) The Commission may award credit for teaching the 
Commission-developed mandatory update course and for 
teaching an approved elective course. Credit for teaching 
an approved elective course shall be awarded only for the 
liconae period in V i 'hich the instructor teaches the course for 
th e first tim e teaching a course for the first time. Credit for 
teaching a Commission-developed mandatory update course 
may be awarded for each licensing period in which the 
instructor teaches the course. TTie amount of credit awarded 
to the instructor of an approved continuing education course 
shall be the same as the amount of credit earned by a 
licensee who completes the course. The instructor must 
provide proof that he taught the course within the current 
lic e ns e p e riod. Licensees who are Instructors of continuing 
education courses approved by the Commission shall not be 
subject to the thirty dollar ($30.00) evaluation fee when 
applying for continuing education credit for teaching an 
approved course. No credit toward the continuing education 
requirement shall be awarded for teaching a real estate 
prelicensing course. 

(e) No carry-over credit to a subsequent license period 
shall be awarded for taking an unapproved continuing 
education course or for any real estate education activity 
other than teaching an approved elective course. 

(f) A licensee completing a real estate appraisal 
prelicensing, precertification or continuing education course 
approved by the North Carolina Appraisal Board may obtain 
real estate continuing education elective credit for such 
course by submitting to the Commission a written request 



for equivalent continuing education elective credit accompa- 
nied by a nonrefundable processing fee of twenty dollars 
($20.00) and a copy of the certificate of course completion 
issued by the course sponsor for submission to the North 
Carolina Appraisal Board. Such appraisal courao must have 
boon compl e t e d during the lioonoo period for which th e 
r e qu e st for e quival e nt cr e dit io made. 

Statutory Authority G.S. 93A-3(c); 93A-4A. 

.1711 CONTINUING EDUCATION REQUIRED 
OF NONRESIDENT LICENSEES 

(a) Real estate brokers and salesmen licensed in North 
Carolina but residing in another state at the time they apply 
for license renewal who wish to renew their licenses on 
active status for a liconao period beginning on or after July 
1, 1995 may fully satisfy the continuing education require- 
ment by any one of die following means: compl e ting, withia 
eae — year — pr e c e ding — lic e ns e — e xpiration, — e ith e r — tbe 
Commission prescribod update course plus four classroom 
hours of instruction in Commission approved oontinuing 
education oouro e s or e ight olaooroom hours of instruction in 
cours e s approv e d for oontinuing e ducation credit by th e r e al 
estate licensing agonc)' in the liconsoo's state of residence or 
in the state whore the course was taken. — To obtain credit 
for a oontinuing e ducation course completed in anoth e r stat e 
and not approved by the Commission, th e lic e ns ee must 
s ubmit a written roquost for continuing education credit 
accompanied by a nonrofundablo processing fee of tv s 'onty 
dollars ($20.00) f> e r cours e and e vid e nc e satisfaotor)' to th e 
Commission that th e oouro e was compl e t e d and that th e 
course was approved for continuing education credit by the 
real estate licensing agoncy in the licensee's state of rosi 
d e no e or in th e stat e wh e r e th e cours e was txikon. 

(1) A nonresident licensee may, at the time of 
license renewal, hold a real estate license on 
active status in another state and certify on a 
form prescribed by the Commission that the 
licensee holds such license. 

(2) A nonresident licensee may, within one year 
preceding license expiration, complete the 
Commission-prescribed Update course plus four 
classroom hours of instruction in Commission- 
approved continuing education elective courses. 

(3) A nonresident licensee may, within one year 
preceding license expiration, complete eight 
classroom hours in courses approved for contin- 
uing education credit by the real estate licensing 
agency in the licensee's state of residence or in 
the state where the course was taken. To obtain 
credit for a continuing education course com- 
pleted in another state and not approved by the 
Commission, the licensee must submit a written 
request for continuing education credit accompa- 
nied by a nonrefundable processing fee of 
twenty dollars ($20.00) per request and evidence 
satisfactory to the Commission that the course 



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PROPOSED RULES 



was completed and that the course was approved 
for continuing education credit by the real estate 
licensing agency in the licensee's state of resi- 
dence or in the state where the course was 
taken. 
(4) A nonresident licensee may obtain eight hours 

equivalent credit for a course or courses not 
approved by the Commission or for related 
educational activities as provided in Rule . 1708 
of this Section. The maximum amount of contin- 
uing education credit the Commission will award 
a nonresident licensee for an unapproved course 
or educational activity is 8 hours. 

(b) When requesting to change an inactive license to 
active status, or when applying for reinstatement of a license 
expired for not more than 12 months, a nonresident broker 
or salesman may take continuing education ooursos approved 
by th e r e al e state lic e nsing ag e ncy in hia otat e of r e sid e nc e 
or anoth e r stat e to fully satisfy the continuing education 
requirements described in Rules .0505 and .1703 of this 
Subchapter by complying with any of the options described 
in Paragraph (a) of this Rule . 

(o) In addition to th e options d e scrib e d in Paragraphs (a) 
and (b) of this Rulo for aatisfy'ing the continuing education 
roquiromont. a nonresident liconsoo may request that tho 
Commisflion award continuing e ducation credit for a cours e 
not approved by th e Commission or for r e lat e d e ducational 
activitie s as provided in Rulo .1708 of this Section. 

(c] (d) No carry-over credit to a subsequent license period 
shall be awarded for a course taken in another state that has 
not been approved by the North Carolma Real Estate 
Commission as an elective course. 

Statutory Authority G.S. 93A-3(c): 93A-4A. 

SUBCHAPTER 58C - REAL ESTATE 
PRELICENSING EDUCATION 

SECTION .0100 - SCHOOLS 

.0104 SCOPE, DURATION AND RENEWAL 
OF APPROVAL 

(a) Approval extends only to the courses and location 
reported in the application for school approval. 

(b) Commission approval of schools shall terminate on the 
second December 3 1 in the next odd-numbered year 
following the effective date of approval. 

(c) Schools must renew their approval to conduct real 
estate pre-licensing courses by satisfying the criteria for 
original approval described in Rule .0103 of this Section. 
In order to assure continuous approval, renewal applications 
shall be filed with the Commission biennially on or before 
November 15 in the year that approval terminates. 

Statutory Authority G.S. 93A-4(a),fd): 93A-75(a). 

SECTION .0300 - PRE-LICENSING COURSES 



.0305 COURSE SCHEDULING 

(a) All courses must have fixed beginning and ending 
dates, and schools may not utilize a scheduling system that 
allows students to enroll late for a course and then complete 
their course work in a subsequently scheduled course. Late 
enrollment is permitted only if the enrolling student can 
satisfy the minimum attendance requirement set forth in 
Rule .0304(c) of this Section. 

(b) Real estate pre-licensing courses may not have class 
meetmgs that exceed six classroom hours in any given day 
and 18 classroom hours in any given seven-day period. If 
a school desires to conduct a course with class meetings that 
will be held on consecutive days and involve more than 
three classroom hours on any of the consecutive days, the 
school must obtain advance approval of the course schedule 
from the Commission. To obtain approval of such a 
proposed course schedule, the school must demonstrate to 
the satisfaction of the Commission that the proposed 
schedule provides sufficient time for the required instruction 
to be provided by a combination of classroom instruction 
and out-of-class textbook reading and other assignments. To 
determine the acceptability of such a proposed course 
schedule, the Commission shall consider the instruction that 
is required for the course under Commission rules, the total 
number of scheduled classroom hours for the course, the 
length and frequency of proposed individual class meetings 
and the amount of out-of-class study time available to 
students. 

(c) A classroom hour consists of 50 minutes of classroom 
instruction and ten minutes of break time. For any class 
meeting that exceeds 50 minutes in duration, breaks at the 
rate of ten minutes p)er hour must be scheduled and taken at 
reasonable times. 

Statutory Authority G.S. 93A-4(a),(d). 

.0306 TEXTBOOKS 

Each course must utilize a textbook or course materials 
which are approved by the Commission as well as any 
additional instructional materials which may be prescribed 
by the Commission for such course. Instructors shall make 
appropriate out-of-class reading assignments in the selected 
textbook and any additional prescribed instructional materi- 
als and shall actively encourage students to perform such 
reading assignments. 

Statutory Authority G.S. 93A-4(a),(d); 93A-33; 93A-75(a). 

.0307 REAL ESTATE INSTRUCTORS 

(a) Except as indicated in Paragraph (b) of this Rule, all 
real estate pre-licensing courses must be taught by instruc- 
tors who possess good moral character and either the 
minimum real estate education and experience qualifications 
listed in this Rule for each course or other qualifications that 
are found by the Commission to be equivalent to those 
listed. These qualification requirements must be met on a 
continuing basis. For a previously approved instructor. 



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experience In teaching a North Carolina real estate 
pre-licensing course may be substituted for any required 
experience in real estate brokerage, real estate law practice, 
or mortgage lending when a school is seeking continued 
approval of the instructor to teach such course. 

(1) Fundamentals of Real Estate: A current North 
Carolina salesman or broker license in good 
standing a current continuing education record , 
120 classroom hours of real estate education 
excluding company or franchise in-service sales 
training, and two years' full-time general real 
estate brokerage experience within the previous 
five years. 

(2) Real Estate Law: A license to practice law in 
North Carolina and either experience in closing 
at least ten real estate sales transactions within 
the previous three years or completion of a real 
estate practice course in law school. 

(3) Real Estate Finance: One year full-time experi- 
ence within the previous three years as a mort- 
gage loan officer specializing in first mortgage 
loans, or two years' full-time experience within 
the previous three years as a general loan officer 
with an institution which makes a substantial 
number of first mortgage loans, or a current 
North Carolina broker lioenoe in good otonding 
license, a current continuing education record, 
and a minimum of five years' full-time general 
real estate brokerage experience within the 
previous seven years. 

(4) Real Estate Brokerage Operations: A current 
North Carolina broker liconso in good standing 
license, a current continuing education record . 
120 classroom hours of real estate education 
excluding company or franchise in-service sales 
training, and three years' full-time general real 
estate brokerage experience within the previous 
five years including at least one year as bro- 
ker-owner, designated broker-in-charge or 
managing broker of a multi-agent real estate 
firm or office. 

(b) Guest lecturers who do not possess the qualifications 
stated in Paragraph (a) of this Rule may be utilized to teach 
collectively up to one-half of any course, provided that no 
one individual guest lecturer may teach more than one-third 
of any course, and provided further that each guest lecturer 
jx)ssesses experience directly related to the particular subject 
area he is teaching. 

(c) Instructors shall conduct courses in accordance with 
the Commission's rules and course syllabi. Instructors shall 
conduct themselves in a professional and courteous manner 
when performing their instructional duties and shall conduct 
their classes in a manner that demonstrates a mastery of the 
following basic teaching skills: 

(1) The ability to communicate effectively through 
speech, including the ability to speak clearly at 
an appropriate rate of speed and with a ppropri- 



£41 
(5} 

m 



ate voice inflection, grammar and vocabulary. 
The ability to present an effective visual image 
to a class, including appropriate appearance and 
physical mannerisms. 

The ability to present instruction in a thorough, 
accurate, logical, orderly and understandable 
manner, to utilize illustrative examples as appro- 
priate, and to respond appropriately to questions 
from students. 

The ability to effectively utilize varied instruc- 
tional techniques in addition to straight lecture, 
such as class discussion, role playing or other 
techniques. 

The ability to effectively utilize instructional 
aids, such as the overhead projector, to enhance 
learning. 

The ability to maintain an a ppropriate learning 
environment and effective control of a class. 



TTie ability to interact with adult students in a 
positive manner that encourages students to 
learn, that demonstrates an understanding of 
varied student backgrounds, that avoids offend- 
ing the sensibilities of students, and that avoids 
personal criticism of any other person, agency 
or organization, 
(d) Upon request of the Commission, a school must 
submit to the Commission a video tape(s) depicting an 
a pproved instructor designated by the Commission teaching 
portions of an a pproved course specified by the Commis- 
sion. Tlie video tape(s) must have been made within 12 
months of the date of submission, must be in VHS format, 
must include a label identifying the instructor and dates of 
the videotaped instruction, and must have visual and sound 
quality sufficient to allow viewers to clearly see and hear 
the instructor. 

Statutory Authority G.S. 93A-4(a),(d); 93A-33. 

.0311 INSTRUCTIONAL DELIVERY METHODS 

The principal instructional delivery method utilized in real 
estate pre-licensing courses must provide for the instructor 
to interact with students either in person in a traditional 
classroom setting or through an interactive television system 
or comparable system which permits continuous mutual 
audio and visual communication between the instructor and 
all students and which provides for appropriate monitoring 
and technical support at each site where the instructor or 
students are located. The use of media-based instructional 
delivery systems such as videotape, remote non-interactive 
television, computer-based instructional programs or similar 
systems not involving continuous mutual audio and visual 
communication between instructor and students may be 
employed only in a limited manner to enhance or supple- 
ment personal teaching by the instructor. No portion of a 
course may consist of correspondence instruction. 

Statutory Authority G.S. 93A-3(c}; 93A-4(a). 



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PROPOSED RULES 



.0312 EXCEPTION FOR PERSONS WITH 
DISABELITIES 

Schools may deviate from Commission rules concerning 
student attendance, course sctieduling. instructional methods, 
instructional materials, facilities or similar matters as may 
be necessary in order for a school to comply with the 
Americans With Disabilities Act or other laws requiring 
such schools to accommodate persons with disabilities; 
provided that no deviations from Commission rules are 
permitted by this rule with regard to program structuring, 
course content, academic course completion standards, or 
instructors. A school providing a special accommodation 
for a student with a disability that requires the school to 
deviate from Commission rules shall notify the Commission 
in writing of the accommodation within ten days of the start 
of the course in which the student is enrolled. 

Statutory Authority G.S. 93 A- 3(c). 

SUBCHAPTER 58E - REAL ESTATE 
CONTINUING EDUCATION 

SECTION .0200 - UPDATE COURSE 
INSTRUCTORS 

.0203 APPLICATION AND CRITERIA FOR 
ORIGINAL APPROVAL 

(a) A person seeking original approval as an update 
course instructor must make application on a form pre- 
scribed by the Commission. An applicant who is not a 
resident of North Carolina shall also file with the application 
a consent to service of process and pleadings. No applica- 
tion fee is required. All required information regarding the 
applicant's qualifications must be submitted. 

(b) The applicant must be truthful, honest and of high 
integrity 

(c) The applicant must be qualified under one of the 
following standards: 

(1) Possession of a baccalaureate or higher degree 
with a major in the field of real estate. 

(2) Possession of a current North Carolina real 
estate broker license, three years active full-time 
experience in real estate brokerage within the 
previous ten years, and 30 classroom hours of 
real estate education, excluding prelicensing 
education, within the past three years, such 
education covering topics which are acceptable 
under Commission rules for continuing education 
credit. 

(3) Possession of a current North Carolina real 
estate broker license and experience teaching at 
least ten real estate prelicensing courses within 
the previous five years. 

(4) Possession of a license to practice law in North 
Carolina and three years experience in law 
practice within the previous 10 years, with a 
substantial emphasis on real estate practice. 



(5) Possession of qualifications found by the Com- 

mission to be equivalent to one or more of the 
above standards, provided that the requirement 
for a current North Carolina real estate broker 
license shall be waived only for applicants who 
qualify under Subparagraph (c)(1) or (4) of this 
Rule. 

(d) The applicant must possess good teaching skills as 
demonstrated on a videotape portraying the instructor 
teaching a live audience. The applicant must submit for 
Commission review a videotape in VMS format. The 
videotajDe must be 45-60 minutes in length and must depict 
a continuous block of instruction on a single real estate or 
directly related topic. The videotape must be unedited, must 
show at least a portion of the audience, and must have 
visual and sound quality sufficient to enable reviewers to 
clearly see and hear the instructor. The videotape must 
have been made within the previous three years. The 
videotape must demonstrate that the instructor possesses the 
teaching skills described in Rule .0509 of this Subchapter. 

(e) An applicant shall be exempt from qualifying under 
Paragraphs (c) and (d) of this Rule if he possesses a current 
North Carolina real estate broker license and a current 
designation as a Dosignatod Distinguished Real Estate 
Instructor (DREI) granted by the Real Estate Educators 
Association. 

Statutory Authority G.S. 93A-3(c); 93A-4A. 

.0204 RENEWAL OF APPROVAL 

Commission approval of update course instructors expires 
on the next December 3 1 following issuance of approval, 
oxcopt that approval of inatructora approvod prior to January 
1, 1995 shall e xpir e on D e c e mber 31, 1995 approval . In 
order to assure continuous approval, approved instructors 
must file applications for renewal of approval on a form 
prescribed by the Commission on or before December 1 
immediately preceding expiration of their approval. 
Applicants must satisfy the criteria for original approval, 
with the exception of the requirement stated in Rule 
.0203(d) of this Section, in order to renew their approval. 

Statutory Authority G.S. 93A-3(c); 93A-4A. 

SECTION .0300 - ELECTIVE COURSES 

.0302 ELECTIVE COURSE COMPONENT 

(a) To renew a license on active status, a real estate 
broker or salesman must complete, within one year preced- 
ing license expiration and in addition to satisfying the 
continuing education mandatory update course requirement 
described in Rule .0102 of this Subchapter, four classroom 
hours of instruction in one or more Commission-approved 
elective courses. 

(t) Approval of an elective course includes approval of 
the sponsor and instructor(s) as well as the course itself. 
Such approval authorizes the sponsor to conduct the ap- 



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proved course using the mstructor(s) who have been found 
by the Commission to satisfy the instructor requirements set 
forth in Rule .0306 of this Section. The sponsor may 
conduct the course at any location as frequently as is desired 
during the approval period, provided that no coursos 
sessions of an a pproved course may be conducted for real 
estate continuing education credit between June 1 1 and June 
30^^ inclusive, of any approval period. Any sponsor who 
conducts a session of an approved elective course between 
June 11 and June 30 must advise students no later than the 
beginning of the course that the Commission will not award 
credit for that course session. Sponsors conducting any 
special advertising or promotion of a continuing education 
course session to be held between June 11 and June 30 shall 
not state or represent in any manner that the course is 
approved for continuing education credit by the North 
Carolina Real Estate Commission. 

Statutory Authority G.S. 93 A- 3(c); 93A-4A. 

.0303 APPLICATION FOR ORIGINAL 
APPROVAL 

An entity seeking original approval of a proposed elective 
course must make application on a form prescribed by the 
Commission. Applications for original approval " i^ ill not bo 
Qoo e pted b e tw ee n April 1 and Jun e 30 of any cal e ndar y e ar, 
provid e d that this r e striction ohall not apply wh e n on 
applicant ia sooking approval to conduct a course for which 
approval has already boon obtained by another sponsor. 
The applicant must submit a nonrefundable fee of one 
hundred dollars ($100.00) per course which may be in the 
form of a check payable to the North Carolina Real Estate 
Commission; provided, however, that no fee is required if 
the entity making application is a community college, junior 
college, college or university located in this State and 
accredited by the Southern Association of Colleges and 
Schools, or is an agency of federal, state or local govern- 
ment. The application shall be accompanied by a copy of 
the course plan or instructor's guide for the course and a 
copy of materials that will be provided to students. An 
applying entity that is not a resident of North Carolina shall 
also file with the application a consent to service of process 
and pleadings. 

Statutory Authority G.S. 93A-3(c); 93A-4A. 

.0304 CRITERIA FOR ELECTIVE COURSE 
APPROVAL 

The following requirements must be satisfied in order to 
obtain approval of a proposed elective course: 

(1) The applicant must submit all information required 
by the Commission and pay the application fee, if 
applicable. 

(2) The applicant must satisfy the requirements of 
Section .0400 of this Subchapter relating to the 
qualifications or eligibility of course sponsors. 

(3) The subject matter of the course must satisfy the 



elective course subject matter requirements set 
forth in Rule .0305 of this Section and all infor- 
mation to be presented in the course must be 
current and accurate. 

(4) The course must involve a minimum of two 
classroom hours of instruction on acceptable 
subject matter. A classroom hour consists of 50 
minutes of instruction and 10 minutes of break 
time. 

(5) The applicant and the continuing education coordi- 
nator required by Rule .0405 of this Subchapter 
must be truthful, honest and of high integrity. In 
this regard, the Commission may consider the 
reputation and character of any owner, officer and 
director of any corporation, association or organi- 
zation applying for sponsor approval. 

(6) The proposed instructor(s) for the course must 
jxjssess the quaUfications described in Rule .0306 
of this Section. 

(7) The course must bo one that will bo conducted by 
a quolifiod instructor who will bo able to interact 
dir e ctly e ith e r in p e rson or by int e ractiv e televi 
oion with all stud e nts at all tim e s during tho 
courso. Tho course may bo conduetod through the 
use of intomctivo tolovision which pormita continu 
oufl mutual communication botsvoon th e instructor 
and all stud e nts, continuous obs e r^'ation of th e 
instructor by all studonta, and continuous obsorva 
tion of all students by tho instructor. — Tho u s e of 
m e dia bas e d instruction ouch as videotap e , r e mot e 
non interactive television, comput e r programs or 
similar typos of inatruotion may be employed on a 
limited basis to enhance or supplement personal 
instruction. — No portion of the course may consist 
of corr e spond e nc e instruction. The instructional 
delivery methods to be utilized in the course must 
comply with the requirements described in Rule 
■0310 of this Section. 

(8) The applicant must submit an instructor guide that 
includes: 

(a) a detailed course outline, 

(b) the amount of time to be devoted to each major 
topic and to breaks, 

(c) the learning objective(s) for each major topic, 
and 

(d) the instructional methods and instructional aids 
that will be utilized in the course. 

The proposed time allotments must be appropriate 
for the proposed subject matter to be taught. 
Unless the apphcant can demonstrate that straight 
lecture is the most effective instructional method 
for the course, the instructor guide must provide 
for the use of an appropriate variety of instruc- 
tional methods and instructional aids intended to 
enhance student attentiveness and learning. 
Examples of instructional methods and instruc- 
tional aids that may be appropriate include, but 



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PROPOSED RULES 



are not limited to. class discussion, role-playing, 
in-class work assignments, overhead transparen- 
cies and videotape. 
(9) The course must include handout materials for 
students unless the applicant can demonstrate that 
such materials are either inappropriate or unneces- 
sary for the course. Such materials must be 
current, accurate, grammatically correct, logically 
organized and produced in a manner that reflects 
reasonable quality. 

(10) Either the instructor guide or the student materials 
must describe, in narrative form, the details of the 
substantive information to be presented in the 
course. The substantive information to be pre- 
sented must be provided in sufficient detail to 
demonstrate that the information is current, accu- 
rate, complete, and otherwise appropriate. 

(11) If an applicant proposes to use copyrighted materi- 
als in the course, such materials must be used in 
a form approved by the copyright holder. If any 
copyrighted material is to be duplicated by the 
applicant for use in the course, the sponsor must 
have the specific permission of the copyright 
holder. 

(12) Applicants requesting approval of a computer- 
based instructional program need not comply with 
the requirements stated in Items (8), (9) and ( 10) 
of this Rule: however, such applicants must 
submit a written course plan that includes a de- 
tailed course outline, the minimum amount of time 
required for a typical licensee to complete each 
lesson and the entire course, and the learning 
obiecti\e(s) for each major topic. TTie minimum 
time prescribed for completion of each lesson and 
the entire course must be reasonable and appropri- 
ate for the proposed subject matter to be taught. 
Such applicants must also submit a complete cop\' 
of Ae instructional program on the medium that is 
to be utilized and must make available, at a date 
and time satisfactor\' to ^ Commission and at the 
sponsor's expense, all hardware and software 
necessary for the Commission to review the 
submitted instructional program. The information 
in the instructional program must be current, 
accurate, complete, grammatically correct and 
logicalh organized. The instructional program 
must also be produced in a manner that reflects 
reasonable quality and must comply with the 
requirements of Rule .0310 of this Section and 
any other applicable rules. 

Statutory Authoricy G.S. 93A-3(c): 93A-4A. 

.0310 CSSTRLCTIONAL DELIVERY METHODS 

The principal instructional delivery method utilized in 
elective courses must be one or more of the following: 
(1) Personal teaching by an instructor in a traditional 



121 



classroom setting: or 

Instruction through an interactive television system 
or comparable system which permits continuous 
audio and visual communication between the 
instructor and all students and which provides for 
appropnate monitoring and technical support at 
each site where the instructor or students are 
located: or 



i 



tu 



Instruction through an interactive computer-based 
instructional program which provides for control 
of student progress through the educational materi- 
als by testing to assure student mastery of the 
subject matter at the end of each lesson, monitor- 
ing of time devoted to each lesson by the com- 
puter with automatic program shutdown after an 
appropriate period of nonactivity by the student, 
and a monitoring system which assures that the 
student receiving continuing education credit for 
completing the program actually performed all the 
work required to complete the program. 
The use of passive or non-interactive instructional delivery 
systems such as videotape, remote non-interactive television 
or similar systems may be employed only in a limited 
manner to enhance or supplement one of the acceptable 
instructional delivery methods previously described in this 
Rule. No portion of a course may consist of correspon- 
dence instruction. 

Statutory Authority G.S. 93A-3(c): 93A-4A 

SECTION .0400 - GENERAL SPONSOR 
REQUIREMENTS 

.0406 COURSE COMPLETION REPORTING 

(a) Course sponsors must compl e t e a rost e r of all r e al 
estate lioonseos enrolled in an approved continuing education 
course and a course completion report prepare and submit 
to the Commission reports verifying completion of a 
continuing education course for each licensee who satisfacto- 
rily completes the course according to the criteria in 21 
NCAC 58A .1705 and who desires continuing education 
credit for the course. Sponsors may allosv stud e ntu to 
oomploto portions of th e cours e completion report, but Such 
reports shall be completed on forms prescribed by the 
Commission, and sponsors will be held accountable for the 
completeness and accuracy of all information on such r e port 
reports . Sponsors must submit these documents reports to 
the Commission in a manner that will assure receipt by the 
Commission within fifteen calendar days following the 
course, but in no case later than June 15 for courses 
conducted prior to that date. These docum e nts shall b e 
completed on forms prescribed by the Commission. 

(is) Course At the request of the Commission, course 
sponsors must provide licensees enrolled in each continuing 
education course an opportunity to complete an evaluation 
of each approved continuing education course on a form 
prescribed by the Commission. Sponsors must submit the 



i 



I 



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PROPOSED RULES 



completed evaluation forms to the Commission with the 
reports verifying completion of a continuing education 
course within fiftoon calendar days following th e cours e , but 
in no oatjo later than Juno 15 for any course complotod prior 
to that date . 

(c) Course sponsors shall provide each licensee who 
satisfactorily completes an approved continuing education 
course according to the criteria in 21 NCAC 58 A .1705 a 
course completion certificate on a form prescribed by the 
Commission. Sponsors must provide the certificates to 
licensees within fifteen calendar days following the course, 
but in no case later than June 15 for any course completed 
prior to that date. The certificate is to be retained by the 
licensee as his proof of having completed the course. 

(d) Couroo oponooro ohall advis e th e CommioDion in 
writing when When a Ucensee in attendance at a continuing 
education course does not comply with the Commisgion'a 
att e ndano e-ef student participation stondardo. standards, the 
course sponsor shall advise the Commission of this matter 
in writing at the time reports verifying completion of 
continuing education for the course are submitted . A 
sponsor who determines that a licensee failed to comply 
with either the Commission's attendance or student partici- 
pation standards shall not provide the licensee with a course 
completion certificate nor shall the sponsor include the 
licensee's name on the reports verifying completion of 
continuing education. 

(e) Notwi thstandin g the provisions of Paragraphs (a) and 
(c) of this Rule, approved course sponsors who are national 
professional trade organizations and who conduct 
Commission-approved continuing education elective courses 
out of state shall not be obligated to submit reports verifying 
completion of continuing education courses on forms 
prescribed by the Commission, provided that such sponsors 
submit to the Commission a roster which includes the names 
and license numbers of North Carolina licensees who 
completed the course in compliance with the criteria in 21 
NCAC 58A . 1705 and who desire continuing education 
credit for the course. A separate roster must be submitted 
for each class session and must be accompanied by a five 
dollar ($5.00) p>er student fee, payable to the North Carolina 
Real Estate Commission. Rosters must be submitted in a 
manner which assures receipt by the Commission within 15 
calendar days following the course. Such sponsors may also 
provide each Ucensee who completes an approved course in 
compliance with the criteria in 21. NCAC 58A .1705 a 
sponsor-developed course completion certificate in place of 
a certificate on a form prescribed by the Commission- 
Sponsors must provide the certificates to licensees within 
fifteen calendar days following the course. 

Statutory Authority G.S. 93A-3(c); 93A-4A. 

.0407 PER STUDENT FEE 

Following completion of any approved continuing educa- 
tion update or elective course, the sponsor must submit to 
the Commission, along with the roster, courao completion 



reports and evaluation fo rms required to be submitted by 
Rule .0406 of this Section, a fee in the amount of five 
dollars ($5.00) for each licensee who satisfactorily com- 
pletes the course according to the criteria in 21 NCAC 58A 
. 1705. This fee is not required if the sponsor is a commu- 
nity college, junior college, college or university located in 
North Carolina and accredited by the Southern Association 
of Colleges and Schools, or is an agency of federal, state or 
local government. This fee may be paid by check payable 
to the North Carolina Real Estate Commission. A separate 
check is required for each separate class session. 

Statutory Authority G.S. 93A-3(c); 93A-4A. 

.0411 RENEWAL OF COURSE AND SPONSOR 
APPROVAL 

(a) Commission approval of all continuing education 
elective courses and update course sponsors expires on the 
next June 30 following the date of issuance. In order to 
assure continuous approval, applications for renewal of 
Commission approval, accompanied by the prescribed 
renewal fee, must be filed on a form prescribed by the 
Commission annually on or before March 3 1 April 30. Any 
incomplete application for renewal of continuing education 
course and sponsor approval received on or before March 
34- April 30 which is not completed within 10 days of notice 
of the deficiency, as well as any renewal application 
received after March 3 1 April 30 , shall not be accepted and 
the sponsor will have to file an application for original 
approval on or after July 1 in order to be reapproved. 
AppUcants for renewal of approval must satisfy the criteria 
for original approval in order to renew their approval. 
When the Commission issues original course or sponsor 
a pproval with an effective date of approval between April \ 
and June 10, the deadline for submission of applications for 
renewal of such newly a pproved sponsor or course shall be 
June 10 of the year in which the original approval is issued. 

(b) The fee for renewal of Commission approval shall be 
fifty dollars ($50.00) for each update course sponsor and for 
each elective course, provided that no fee is required for 
course sponsors that are exempted from original application 
fees. The fee shall be paid by check payable to the North 
Carolina Real Estate Commission and is nonrefundable. 

Statutory Authority G.S. 93A-3(c); 93A-4A. 

SECTION .0500 - COURSE OPERATIONAL 
REQUIREMENTS 

.0503 MINIMUM CLASS SIZE 

The minimum class size for any session of an approved 
continuing education course shall be five students, students. 
as determined by the sponsor's preregistration records . The 
minimum class size requirement shall not apply to class 
sessions when the sponsor notifies the Commission in 
writing of the scheduled class session as provided in Rule 
■0504 of this Section and advertises in advance the sched- 



10:16C 



NORTH CAROLINA REGISTER 



November 15, 1995 2139 



PROPOSED RULES 



uled class session in the general real estate community 
where the class session is to be held. A sponsor who 
conducts a class session for fewer than Five students shall 
submit with the reports verifying completion of the course 
a copy of the advertisement for the class session plus a 
statement or other documentation indicating the date of the 
advertisement and the advertising method. 

Statutory Authority G.S. 93A-3(c); 93A-4A. 

.0511 STUDENT PARTICIPATION STANDARDS 

(a) In addition to requiring student compliance with the 
attendance requirement, sponsors and instructors shall 
require that students comply with the following student 
participation standards: 

( 1 ) A student shall direct his active attention to the 
instruction being provided and refrain from 
engaging in activities unrelated to the instruc- 
tion. 

(2) A student shall refrain from engaging in any 
activities which are distracting to other students 
or the instructor, or which otherwise disrupt the 
orderly conduct of a class. 

(3) A student shall comply with all instructions 
provided by the sponsor or instructor related to 
providing information needed to properly report 
completion of a course by the student. 

(b) Instructors and sponsors have the authority to dismiss 
from a class session any student who, after having roco i vod 
ono warning, who fails to comply with the student participa- 
tion standards prescribed in Paragraph (a) of this Rule. In 
the altomativo. the instructor or sponsor may report the 
problem to the Commission when providing roquirod reports 
to th e Commiooion r e garding th e claoo o e ooion during svhioh 
tho probl e m ooourr e d. 

(c) Sponsors shall not issue a course completion certifi- 
cate to any student who fails to comply with the student 
participation standards set forth in Paragraph (a) of this 
Rule, nor shall sponsors include the name of such student on 
their reports verifying completion of a continuing education 
course. Sponsors shall submit to the Commission with their 
reports for the class session a written statement which 
includes the name and license number of the student for 
whom the sponsor does not report course credit, details 
concerning the student's failure to comply with the student 
participation standards, and names of other persons in 
attendance at the class who witnessed the student's conduct. 

Statutory Authority G.S. 93A-3(c); 93A-4A. 

CHAPTER 65 - THERAPEUTIC RECREATION 
CERTIFICATION BOARD 



N 



otice is hereby given in accordance with G.S. 
150B-21.2 that the State of NC Therapeutic Recreation 



Certification Board intends to amend rules cited as 21 
NCAC 65 .0004, .0006 and .0007. 

Proposed Effective Date: February 1, 1996. 

Instructions on How to Demand a Public Hearing (must 
be requested in writing within 15 days of notice): Any 
person may demand a public hearing by contacting the 
Board within 15 days of the publication of this Notice. The 
demand shall be directed to: Becky Garrett, PO Box 67, 
Saxapahaw, NC 27340. 

Reason for Proposed Action: 

21 NCAC 65 .0004 - to delete Paragraph (b), it states the 
same as Paragraph (a). 

21 NCAC 65 .0006 - to add in Paragraph (b) that communi- 
cations fee shall be collected upon certification. New 
Paragraph (d) to add a fee of fifteen dollars ($15.00) for 
returned checks. New Paragraph (ej to add a fee of forty- 
five dollars ($45. 00) for an appeal. 
21 NCAC 65 .0007 - delete example in Paragraph (d). 

Comment Procedures: Any interested person may direct 
comments to the Board by mail addressed to: Becky 
Garrett, PO Box 67, Saxapahaw, NC 27340. All comments 
must be postmarked no later than December 15, 1995. 

Fiscal Note: These Rules do not affect the expenditures or 
revenues of state or local government funds. 

.0004 ACADEMIC - TRS EXAMINATION 

(e) TRCB shall provide to all applicants for certification 
as a TTierapeutic Recreation Specialist, (TRS), a written 
examination administered by The National Council for 
Therapeutic Recreation Certification (NCTRC) to evaluate 
the qualifications of applicants for certification. The 
examination shall be given in a central geographic area 
within the state at least once a year. 

fb) — A national e xamination for Th e rap e utic R e cr e ation 
Specialists administorod by National Council for Thorapoutic 
Rocroation Certification (NCTRC) will bo used to ovaluato 

the qualifications of applicants — for c e rtification. (Th e 

e xamination shall b e giv e n in a c e ntral g e ographic ar e a 

within tho state.) 

(1) Qualifications: In order to qualify to take the 

examination candidates must meet the following 

requirements: 

(a) (A) Candidates must present evidence (Official 

Transcripts) of a baccalaureate degree or higher 

from an accredited college or university with a 

major in therapeutic recreation or a major in 

recreation and an option/emphasis in therapeutic 

recreation. 

(h) (S^ Coursework for an Option/Emphasis in 

Therapeutic Recreation must reflect a minimum 

of three courses (9 semester/ 13. 5 quarterhours) 

that the title, course description and course 



2140 



NORTH CAROLINA REGISTER 



November 15, 1995 10:16C 



PROPOSED RULES 



(£1 



m 



(2) 



outline reflect recreation content. 
(G) Coursework for an Option/Emphasis in 
Therapeutic Recreation must reflect a minimum 
of three courses (9 semester/ 13. 5 quarterhours) 
that the title, course description and course 
outline reflect therapeutic recreation content. 
(^ To improve consistency of the TRCB certifi- 
cation plan, the equation from semester to 
quarter hours will be by the ratio of one semes- 
ter to 1.5 quarter hours. 
Eligibility and passing requirements, reporting of 
scores, retaking the exam, cancellations and 
review of the exam by unsuccessful apphcants will 
be conducted according to the policies established 
by National Council for Therapeutic Recreation 
Certification (NCTRC) which are hereby incorpo- 
rated by reference including substitutions, amend- 
ments and additions. Copies can be obtained at no 
cost from National Council for Therapeutic Recre- 
ation Certification (NCTRC), P.O. Box 479, 
Thiels, NY 10984-0479, Phone: (914) 947-4346. 



Statutory Authority G.S. 90C-6; 1508-21. 6. 



.0006 CERTIFICATION FEES 

(a) An additional fee shall be charged by the National 
Council for Therapeutic Recreation Certification (NCTRC) 
based on the cost of administration of the examination; the 
fee will be payable to National Council for Therapeutic 
Recreation Certification (NCTRC). 

(b) A biannual TRCB Communications fee of fifteen 
dollars ($15.00) shall be charged by TRCB to cover 
expenses for an annual report, newsletters, and directory to 
be sent to all those certified. The fee will be collected upon 
certification and in the year that certification renewal is due 
thereafter . 

(c) A fee of thirty five dollars ($35.00) for a directory 
and fifty dollars ($50.00) for mailing labels of those 
certified will be charged for those requesting them for 
educational purposes upon approval of TRCB. 

(d} A fee of fifteen dollars ($15.00) shall be charged by 
TRCB for returned checks. 

(e) A fee of forty-five dollars ($45.00) shall be charged 
for an appeal . 

Statutory Authority G.S. 90C-10. 



.0007 CERTIFICATE RENEWALS 

(a) Continuing Professional Education/Experience Requirements: During the two year certification period. Continuing 
Education and Continuing Professional Experience will be required for certification renewal. Candidates for Certification 
Renewal as a TRS have a choice from two of three options to earn a minimum of 40 points to renew their certification. 
Candidates for Certification as a TRA must accrue their points from Professional Experience and Continuing Education 
options. The options, their defmitions and their point values are listed in this Paragraph. 
Option #1 : Professional Experience (20 points) 
Option #2: Continuing Education (20 points) 
Option #3: Examination (TRS Only) (40 points) 

TRS TRA 

Component Description Point Value Point Value 



Professional 


a minimum of 


20 points 


20 points 


Experience 


144 hours (72 


(10 per year) 


(10 per year) 




hours per year) 






Continuing 


2 CEU's (1 CEU's, 


20 points 


20 points 


Education 


10 contact hours 
annually) 


(10 per year) 


(10 per year) 


Examination 


passing score on 


40 points 


Not 


(TRS Only) 


TRS certification 




Applicable 



exam 
(b) Professional Experience Component: If this component is selected to complete for renewal requirements, a minimum 
of 144 hours of therapeutic recreation experience must be earned within the two year certification period. The hours can 
be accumulated through the performance of the following professional roles: 

(1) Direct service deliverer - delivers service directly to clients or groups of clients as a therapeutic recreation 
specialist or a therapeutic recreation assistant by performing assessments, developing individual programs and 
treatment plans, documenting the assessments and interventions, working on an interdisciplinary team or 
performing outreach activities. 

(2) Supervisor - supervises therapeutic recreation personnel in the direct delivery of service to clients. 

(3) Administrator - administers a department or a division which includes therapeutic recreation. 

(4) Educator - teaches courses in therapeutic recreation. 



10:16C 



NORTH CAROLINA REGISTER 



November 15, 1995 2141 



PROPOSED RULES 



(5) Consultant - performs consulting services in therapeutic recreation for organizations, educational institutions, 
agencies or corporations. 

(6) Volunteer - volunteers seivices performed in any of the various roles described in Subparagraphs (b)(1) through 
(b)(5) of this Rule. 

(7) Professional Ser\ice/Paid or Volunteer - includes service on professional boards, councils, legislative work, 
standards development, or curriculum development, as this service relates to therapeutic recreation. 

(8) Student - participates in internships or supervised in-service education and training. 

(c) Continuing Education Component: The continuing education component includes a wide range of continuing education 
activities that are typically available to Therapeutic Recreation Specialists and Therapeutic Recreation Assistants. Continuing 
Education Points (CEP's) are measured according to the equivalency of an educational contact hour (50 minutes of actual 
classroom/instructional time, excluding registration time and breaks). 

(1) Continuing Education Units (CEU's) shall also be recognized and shall be translated into CEP's as follows: 

(A) 1 CEP = 1 contact hour = 0.1 CEU 

(B) 10 CEP's = 10 contact hours = 1.0 CEU 

(2) CEP's shall be accumulated Ln one or several of three categories: 

(A) continuing education courses and experiences, or 

(B) academic courses, or 

(C) professional publications and presentations. 
Each of these three is explained in this Rule. 

(3) Continuing Education Courses and Experiences such as symposia, seminars, are accepted if they are approved 
by a professional therapeutic recreation organization at the local, state, or national level, that uses the National 
or International Council on Continuing Education Standards or through a therapeutic recreation-related group 
(such as a hospital or other agency) or through a college/university that uses national continuing education 
standards. The content of the continuing education experiences must be linked directly to the knowledge areas 
of therapeutic recreation specialist from the National Job Analysis Study conducted by National Council For 
TTierapeutic Recreation Certification (NCTRC). The major categories of therapeutic recreation knowledge areas 
are: 

(A) Background Information. 

(B) Diagnostic Groupings and Populations served, 

(C) Assessment. 

(D) Planning the Program, 

(E) Implementing the Program/Treatment, 

(F) Documentation and Evaluation. 

(G) Organizing and Managing Services, 
(H) Advancement of the Profession. 

Only study via self-study courses that are credited by an acceptable continuing education granting agency as 
described in this Paragraph shall be accepted. 

(4) Academic Courses. 

(A) Credit equivalents for completing academic coursework are: 
(i) 1 semester = 15 Contact hours = 15 CEP's, 

(ii) 1 trimester = 14 Contact hours = 14 CEP's, 
(iii) 1 quarter = 10 Contact hours = 10 CEP's. 

(B) Credit equivalents for audited academic coursework are: 
(i) 1 semester = 8 Contact hours = 8 CEP's, 

(ii) 1 trimester = 7 Contact hours = 7 CEP's, 
(iii) 1 quarter = 5 Contact hours = 5 CEP's. 

The content of academic courses shall also be linked to the know ledge areas of the National Job Analysis Study 

conducted by NCTRC. 

(5) Professional Publications and Presentations. No more than 10 CEP's in the area of professional publications and 
presentations will be accepted for each renewal period (2 years) according to the following point value: 



Editorials 2 CEP's 

Articles on original research 6 CEP's 

Newsletter article .8 CEP's 

Editing a textbook 6 CEP's 

Authoring a textbook chapter 6 CEP's 

Journal Articles 4 CEP's 



2142 NORTH CAROLINA REGISTER November 15, 1995 10:16C 



PROPOSED RULES 



Journal reviews or book review 

Research abstract 

Textbook 

Unpublished masters or doctoral thesis 

Presentations at professional meetings 



2 CEP's 

.8 CEP's 

8 CEP's 

4 CEP's 

.8 CEP's per 50 minutes of lecture. 



Credit will not be given for repeat or multiple presentations of the same seminar, in-service, conference, original 

papers or poster presentation, 
(d) Examination: If the examination component is chosen for recertification. Therapeutic Recreation Specialists will be 
required to take the current examination for professional level certification. The examination must be taken and passed 
within the two years of current certification. For e xampl e , a TRS c e rtifi e d in Novembor of 1 991 oon take th e e xam ao e arly 
as Novombor of 1995 but no later than November of 1996 to count this component tov ^ 'ard renewal roquiromonta. 



Statutory Authority G.S. 90C-6; 90C-9c(4); 90C-11. 

CHAPTER 66 - VETERINARY MEDICAL BOARD 

Notice is hereby given in accordance with G.S. 
150B-21.2 that the North Carolina Veterinary Medical 
Board intends to amend rules cited as 21 NCAC 66 .0101 , 
.0105. .0106. .0108. .0201 - .0203. .0205 - .0208. .0301, 
.0303 - .0308. .0601. .0606. .0703; and adopt rules cited 
as 21 NCAC 66 .0209. .0210. .0310 - .0311. 

Proposed Effective Date: April 1. 1996. 

A Public Hearing will be conducted at 10:00 a.m. on 
January 9. 1996 at the NC Veterinary Medical Board, 1307 
Glenwood Avenue. Suite 156, The Methodist Building, 
Raleigh, NC 27605. 

Reason for Proposed Action: The proposed new rules and 
the amendments to existing rules have been promulgated by 
the Board to update and clarify Board policies and proce- 
dures, and primarily to conform to and implement the 1993 
General Assembly amendments to Article 11. G.S. 90, the 
Veterinary Practice Act, under which statute the Board 
regulates the practice of veterinary medicine in this State. 

Comment Procedures: Any person interested in these Rules 
may present written comment to the Board office no later 
than 9:30 a.m. on January 9, 1996. The mailing address of 
the Board is NC Veterinary Medical Board. P.O. Box 
12587. Raleigh, NC 27605. Persons planning to present 
oral comments relative to the proposed-rulemaking should 
notify the Board office in writing by 5:00 p.m. January 4. 
1996. Persons wishing to make oral comments should 
specify in writing which proposals they are speaking to and 
whether they intend to speak in favor of or against the 
proposal. Speakers may be limited to a total of 10 minutes, 
subject to the discretion of the hearing officer of the Board. 

Fiscal Note: These Rules do not affect the expenditures or 
revenues of local government or state funds. 



SECTION .0100 - STATUTORY AND 
ADMINISTRATrVE PROVISIONS 



.0101 



AUTHORITY: NAME AND LOCATION 
OF BOARD 

The "North Carolina Veterinary Practice Act," Article 11, 
Chapter 90, of the General Statutes of North Carolina, 
establishes and authorizes the "North Carolina Veterinary 
Medical Board," hereafter referred to as the "Board." 
Unless otherwise directed, all communications should be 
addressed to the Board at Office of the Executive Soorotary 
Director , P.O. Box 12587, 1307 Glenwood Avenue, 
Raleigh, North Carolina 27605. 

Statutory Authority G.S. 90-185(6); 90-182. 

.0105 APPLICABILITY OF BOARD RULES 

The Executive Soc rotary Director shall mail a copy of 
Article 1 1 of Chapter 90 of the North Carolina General 
Statutes and the rules of the Board adopted under Chapter 
90 to all applicants applying for licensure. Additional 
copies are available from the Executive Secretary Director 
at the Board office. Rules adopted and published by the 
Board under the provisions of Article 1 1 of Chapter 90 and 
G.S. 150B shall be binding ujx)n every individual holding a 
license from the Board, and upon all professional corpora- 
tions and entities legally authorized to offer or to perform 
veterinary services in this state. All licensees of the Board 
are charged with having knowledge of the existence of the 
Board rules and shall be deemed to be familiar with their 
several provisions and to understand them. 

Statutory Authority G.S. 90-185(6). 

.0106 CURRENT INFORMATION 
REQUIRED BY THE BOARD 

Each licensee has a continuing responsibility of keeping 
the Board currently advised as to his or her proper and 
current mailing address. All changes of professional 
association, or dissolution of a professional relationship, 
must be reported within 60 days to the Executive Secrotar)' 
Director together with the new status and addresses of the 



10:16C 



NORTH CAROLINA REGISTER 



November 15, 1995 2143 



PROPOSED RULES 



individuals or firm. 

Statutory Authority G.S. 90-185(6). 

.0108 FEES 

Fees required for individual and corporat e applications, 
registrations, examinations, renewals, ren e wal of liconoo or 
registration, reinstatements and late penalties with respect to 
veterinary licenses, limited licenses, faculty certificates, zoo 
veterinary certificates, and veterinary technician registra- 
tions; veterinary practice facility inspections; applications 
for temporary permits; application for registration as 
veterinars' intern or preceptee; and copies of the roster, 
materials and other publications or services of the Board are 
pa\ able in advance to the Executive Seor e tarv' Director of 
the Board. The fees currently established and published by 
the Board are: 

( 1) Veterinary License 

Issuance or Renewal $150.00 



tal 
lb] 



ISI 



(el 
LQ 
12) 
(a) 
tb] 



IdJ 
te) 
01 

(a) 
mi 
i£i 
(4] 

lai 

IM 
tc) 
15} 
ta) 
lb] 

isl 

(6) 
(a) 
(M 

m 
m 



National Board Examination (fee shall be in an 

amount directly related to the costs to the 

Board.) 

Clinical Competency Test (fee shall be in an 

amount directly related to the costs to the 

Board.) 

North Carolina License Examination 

Late Renewal Fee 



Reinstatement 
Veterinary Technician Registration 
Issuance or Renewal 
National Board Examination for 



$250.00 

$50.00 

$100.00 



$50.00 

Veterinary' 

Technicians (fee shall be in amount directh' 
related to the costs to the Board.) 
North Carolina Veterinary Technician 

Examination $50.00 

Late Renewal Fee $50.00 

Reinstatement $100.00 

Professional Corporation Certificate of Registra- 
tion 

Issuance or Renewal $150.00 

Late Renewal Fee $50.00 

Reinstatement $100.00 
Limited Veterinary License 

Issuance or Renewal $150.00 

Late Renewal Fee $50.00 

Reinstatement $100.00 
Veterinary Faculty Certificate 

Issuance or Renewal $150.00 

Late Renewal Fee $50.00 

Reinstatement $100.00 
Zoo Veterinars Certificate 

Issuance or Renewal $150. (X) 

Late Renewal Fee $50.00 

Reinstatement $100.00 

Temporary Permit: Issuance $150.00 
Veterinary Student Intern Registration: 

Issuance: $25.00 



(9) 

10) 
iai 
IM 

(£1 



(a) 
(12) 



f4>- 






^=^^ 



Veterinary Student Preceptee Registration: 
Issuance: $25.00 

Limited Liability Partnership Registration 



$150.00 

$50.00 

$100.00 

$150.00 
$50.00 

$100.00 
$75.00 

or other 

materials available for distribution from the Board 
(fees shall be in amounts determined by the Board 
reasonably related to the costs of providing the 
copies.) 
Application for Individual License: 



Issuance or Renewal 

Late Renewal Fee 

Reinstatement 

Limited Liability Compan\' Registration 

Issuance or Renewal 

Late Renewal Fee 

Reinstatement 
Veterinary Practice Facility Inspection 
Copies of Board publications, rosters. 



National Board Examination 



$300.00 



Clinical Comp e t e ncy T e st 
North Carolina Exam 



$200.00 



$200.00 



f5-) Application for Corporate Certificate of Rogistra 

t+efl $50.00 

(^-) Application for Sp e cial R e gistration of V e t e rinary' 

Intern or Preceptee $ 5.00 

-f4^ Application for Renewal of Individual 

Lic e ns e $50.00 

f§^ Application for R e n e wal of Corporat e C e rtificat e 

of Regi s tration $25.00 

{^ Application — fef — Renewal — ef — Registration — fef 



V e t e rinary T e chnician 



$5.00 



Lat e R e n e wal P e nalty for V e t e rinary 



Technician 



$5.00 



-k%) Late Renewal Penalty for Individual 

Lic e ns e 



$10.00 



f9^ Late R e n e wal P e nalty for Corporat e C e rtificat e of 

Registration $10.00 

Statutory Authonty G.S. 55B-11: 90-185(6): 90-186(6): 90- 
187(h): 90-187.5: 90-187.6: 132-6. 

SECTION .0200 - PRACTICE OF 
\TTERrNARY MEDICINE 

.0201 FORMS OF PRACTICE 

(a) TTie phrase "veterinary practice" or "veterinary 
medical practice" shall be deemed to be the delivery of 
veterinary medical sen, ices by a licensed veterinarian 
through a sole proprietorship or a legal entity authorized by 
law to engage in the delixerv of veterinary medical sery'ices. 

fa) (V) Veterinary' practice may be by sole practition e rs. 
proprietors, partnerships, or duly registered professional 
corporations^ limited liability' companies, or limited liability 
partnerships . Only licensees or holders of temporary' 
p e rmits und e r the sup e rvision of lic e ns e d v e t e rinarians may 
form a partnership or other entities described herein autho- 
nzed for the practice of veterinary medicine . Partnerships 
of registered corporations are not permitted. 



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^ {c} No professional corporation may practice or offer 
to practice veterinary medicine unless it complies with G.S. 
55B-10. No professional corporation may do any act which 
individual licensees are prohibited from doing, and every 
professional corporation practicing veterinary medicine shall 
be subject to the disciplinary powers of the Board as 
prescribed in G.S. 90-187.8 and Rules .0205, .0206, .0207 
and .0208 of this Section as well as all other rules of the 
Board pertaining to individual or partnership practice. 

(e) {d} TTie services of any veterinary medical profes- 
sional corporation or limited liability company shall be 
limited to veterinary services as defined in G.S. 90-181(6) 
and "such services as may be ancillary thereto" as deter- 
mined by the Board. 

Statutory Authority G.S. 55B-10; 55B-12; 90-185(6); 90- 
187.11; 90-187.12. 

.0202 NAME OF PRACTICE 

(a) The adoption or use of individual, firm or corporate 
namoB other than the proper names of lioonsoos a name for 
the entity authorized by law through which the licensed 
veterinarian practices and delivers veterinary services must 
have prior Board approval in order to avoid duplication or 
confusion of names and to prevent use of names which 
might be misleading. No proper names of persons other 
than licensees may be included in the name. If the veteri- 
nary medical practice uses the name or names of the 
veterinarians owning or operating the facility in the name of 
the practice, the name shall conform to the requirements of 
G.S. 90-181. 1(c). and Board approval shall be obtained 
prior to the use of that name. The use of the word "facil- 
ity" is not required in the name of those facilities offering 
the services described in G.S. 90-181. 1(b)(2) and (b)(3) 
unless required by the context for clarification. 

(h) A facility where the practice of veterinary medicine 
is conducted shall use in its name one of the descriptive 
terms as set forth in G.S. 90-181. 1(b) in a manner so as to 
accurately inform the public of tlie levels of service offered 
at the facility. 

Statutory Authority G.S. 55B-5; 90-181.1; 90-185(6). 

.0203 LICENSE REQUIRED TO PRACTICE; 
FACULTY CERTIFICATE; ZOO 
VETERINARY CERTIFICATE 

(a) No person shall engage in the practice of veterinary 
medicine in this state or attempt to do so without first 
having applied for and obtained a license from the Board. 

(b) Upon r e qu e st, written application, the Board may 
issue a veterinary faculty certificate to an a inotruotor faculty 
member in the College of Veterinary Medicine at North 
Carolina State University which certifies that the holder 
thereof is exempt from the requirements of licensing under 
G.S. 90-187. 10^. To be an inotruotor faculty member in 
the College of Veterinary Medicine, the instructor faculty 
member must be a graduate of a "recognized school of 



veterinary medicine" as defined by the American Veterinary 
Medical Association and a member of the faculty or staff of 
the College of Veterinary Medicine. The instruotor'o 
faculty member's certificate shall indicate that the holder is 
exempt from the requirements for licensing provided that the 
practice of veterinary medicine is confined to the inotruo 
tor's faculty member's t e aching duties in the hospital or 
field service unit of the College of Veterinary Medicine. 
Such exemption certificate shall automatically expire when 
the holder's relationship is terminated with the school and 
university. 

(c) Up>on written application, the Board may issue a zoo 
veterinary certificate in lieu of the license that otherwise 
would be required by G.S. 90-187. 10 to a veterinarian not 
licensed by the Board who is employed by the North 
Carolina State Zoo. The requirements for and criteria 
governing the Zoo Veterinary certificate shall be the same 
as for the faculty certificate, to the extent applicable and 
practical. The application shall set forth, in additon. the 
applicant's Zoo employment history, the applicant's job 
description and duties with the N.C. State Zoo, and the 
reasons the applicant seeks exemption from the licensure 
requirements for veterinarians. 

(d) The request for either the faculty certificate or zoo 
veterinary certificate shall be in writing upon application 
form furnished by the Board. All fees for issuance, 
renewal, re-instatement, as well as criteria for continuing 
education and discipline shall be as set forth in Article 1 1, 
G.S. 90 and the rules of the Board. The zoo veterinary 
certificates shall be annually renewed each calendar year, 
and the faculty certificates also shall be for the duration of 
one year, but the Board may determine a beginning date 
other than January \ if necessary to conform to academic 
appointments or the academic calendar of the College of 
Veterinary Medicine. 

(e) The Board may consider a written application for a 
faculty certificate by a person who is a graduate of a 
"recognized school of veterinary medicme" as defined in 
Paragraph fb) of this Rule and who is a member of the 
faculty or staff of a college or university in this State other 
than the College of Veterinary Medicine of North Carolina 
State University, provided that the application sets forth the 
qualifications of the faculty member; the reasons that the 
faculty member seeks to be exempt from the requirements 
for licensing as a veterinarian in North Carolina, and the 
duties of the faculty member at the college or university 
where he or she is employed. If a faculty certificate is 
issued under this Paragraph, all other application require- 
ments, fee requirements, and expiration conditions app ly it 
as to those issued to faculty members at the College of 
Veterinary Medicine at North Carolina State University. 

Statutory Authority G.S. 90-185(6); 90-187.10; 90-187.14. 

.0205 DISCIPLINE OF LICENSEES; 
PERMITTEES; REGISTRANTS: 
MANDATORY STANDARDS OF CONDUCT 



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PROPOSED RULES 



Upon information or complaint, the Board shall revoke or 
suspend the license of, or olherv.ise discipline, any lio e ns e d 
vatarinarion a person licensed under Article 1 1 , G.S. 90, or 
may deny a license required by said Article, under the 
provisions of Chaptcra 90 or 150B of the General Statutes 
of North Carolina said Article or G.S. 150B or the Board 
rules . As used in this Section, the word "license" includes 
a license to practice veterinary medicine, a limited veteri- 
nary license, a temporary permit, a veterinary faculty 
certificate, a zoo veterinary certificate, and a registration of 
a veterinary technician, a veterinary student intern, and a 
veterinary student preceptee. Grounds for disciplinary 
action shall include those as slated in G.S. 90-187.8, in 
addition to (but not limited to), the following: 

(1) to make untrue and deceitful statements in any 
application or representation to the Board, or in 
any professional relationship, or in a veterinarian- 
client-patient relationship as that relationship is 
defined in G.S. 90-181(7a) : 

(2) to act in such a manner as to enable others to 
evade the animal and public health requirements 
related to the practice of veterinary medicine, as 
administered by the North Carolina or U.S. 
Departments of Agriculture or the North Carolina 
Department of Human Resources, or to the provi- 
sions of the North Carolina Veterinary Practice 
Act: 

(3) to make, promise to make or accept contributions 
of money, goods or services for purposes of 
bribing an> person with whom the person licensed 
vet e rinarian has a professional association^ or has 
a veterinarian -client-patient relationship as defined 
in G.S. 90-181(7a), or to whom the veterinarian 
person holding a license renders or offers to 
render professional services to the extent allowed 
under the license: 

(4j to defraud or \>.'illfulh' mislead the Board or any 

person with whom he or she has a professional 
associatioUj^ or has a veterinarian-client-patient 
relationship as defined in G.S. 90-181(7a), or to 
whom the veterinarian person holding the license 
renders or offers to render professional services to 
the extent allowed under the license : aad 

(5) to intentionally violate the laws of North Carolina 
or an\' other state related to the practice of \eteri- 
nary medicine or tlie deli\er\ of ser\ ices as 
allowed by the license issued by the Board, or to 
intentionally \ iolate any veterinary licensing Board 
rule in this or another state, slate: and 

(6) to communicate verbally or in writing words or 
information against the reputation, integrity or 
professional competence of a veterinarian, permit- 
tee or registrant, which words or information are 
false, or done in reckless disregard of the truth or 
falsitv of the words or information. 

Statutory Authority G.S. 90-181 (7a): G.S. 90-185(6): 90- 



187.8. 

.0206 MINIMUM STAP^ARDS FOR CONTINUING 
EDUCATION 

ELach lioonsoc of the Board person holding a veterinary 
license, a faculty certificate, a Zoo veterinary certificate or 
a veterinan' technician registration issued by the Board shall 
sadsfactorily complete "minimum standards for continuing 
veterinary medical education," which standards shall be a 
condition precedent to the renewal of a license certificate or 
registration, respectively . Except as otherwise qualified, the 
criteria with respect to continuing veterinary medical 
education of a person holding a certificate of registration as 
a veterinary technician shall be the same as that for a 
licensed veterinanan. The minimum standards are as 
follows: 

(1) Veterinarians are required to earn 4-§ 20 credit 
hours each calendar year before becoming eligible 
for license renewal. 

(2) Veterinary technicians registered with the Board 
are required to earn 12 credit hours every two 
calendar years before becoming eligible for regis- 
tration renewal. 

Or) (3j Veterinarians unable to earn credits because 
of sickness or other justifiable reasons may, at the 
discretion of the Board, be exempted from all or 
part of the credit requirements. 

(4^ £4] Credit hours may be earned as follows: one 
hour credit for each hour of attendance at in-depth 
seminars such as seminars sponsored by the 
Amencan Veterinary Medical Association 
(AVMA), the Amencan Association of Animal 
Hospitals (AAHA), the North Carolina Veterinary 
Medical Association (NCVMA). and academies 
and schools of veterinar>' medicine. Only one 
hour credit may be acquired for attendance at a 
local sectional association meeting. TTie Board 
will consider additional course offerings for 
approval for continuing education credit upon a 
case by case basis, subject to the Board's being 
furnished sufficient information regarding course 
content for a decision to be made as to the ade- 
quacy of the course for continuing education 
credit. Unless otherwise allowed by the Board, 
approval for continuing education credit for 
courses other than those specified herein shall be 
obtained prior to the veterinarian's attendance at 
the course. Only one hour three hours credit per 
year may be acquired from review of an audio or 
video cassette or computer-based training . Tlie 
audio or video cassette or computer-based training 
must be approved by the Board, and the veterinar- 
ian will be required to furnish a copy, or substan- 
tially the equivalent of it and sufficient documen- 
tation for the Board to make an appropriate evalu- 
ation for approval. 

f+) (5j I^ch veterinarian must keep a record of credit 



i 



i 



\ 



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PROPOSED RULES 



hours earned. Each year he or she will be re- 
quired to certify as to the number of credit hours 
earned on a form to be provided by the Board. 
The form will be mailed to each veterinarian at 
the time of aimual renewal. (C) 

(5) {6} During the calendar year in which a veterinar- 
ian graduates from veterinary college or during (9) 
the calendar year in which a veterinary technician 
graduates from veterinary technician school, a 
veterinarian or veterinary technician, respectively. 
shall not be required to earn continuing education 
credits for one year from the dnto of initial oxomi 
nation but, in liou thoroof, shall attend and sue 
oooofully — compl e t e — the — r e quir e m e nts — ef — a 
Board oponoor e d intervi e w and s e minar, for that 
portion of the calendar year remaining from the (A) 
date when the license or registration was issued 
and the end of the calendar year. (B) 

Statutory Authority G.S. 90-185(6); 90-186(1). (C) 

.0207 MINIMUM FACILITY AND PRACTICE 
STANDARDS 

(a) All locations where veterinary medicine is practiced (D) 
shall be adequate for the maintenance of good hygiene at all 
times. All areas of the premises shall be maintained in a 
clean, odor free, and orderly condition at all times. (E) 

(b) The minimum standards for all facilities where 
veterinary medicine is practiced shall be: 

(1) Adequate heating and cooling shall be provided (F) 
for the comfort of the animals and the facility 
shall have sufficient ventilation in all areas. (G) 

(2) Proper lighting shall be provided in all rooms 
utilized for the practice of veterinary medicine. (H) 

(3) Hot and cold running water shall be provided 
along with adequate toilets and lavatories for the (I) 
personnel and for the clients. 

(4) All premises shall have sanitary storage which is 
adequate for the size of the facility. (J) 

(5) The facility shall have interior and exterior 
receptacles for waste disposal which shall com- (10) 
ply with state, county and municipal health laws, 
ordinances and regulations. 

(6) The facilities shall employ a procedure for the 
prompt, sanitary and aesthetic disposal of dead 
animals which complies with all state, county 
and municipal laws, ordinances and regulations. 
Dead animalsr held on premises for longer than (A) 
2 4 hours, shall be placed in a refrigerator. 
refrigerated. (B) 

(7) All interior spaces in the facility must be clean (C) 
and orderly. 

(8) The facilities' examination rooms shall have the (i) 
following: (ii) 

(A) lined waste receptacles or chutes; (iii) 

(B) a sink with disposable towels either in the (iv) 
examination room, or adjacent or reasonably 



convenient to the examination room, so as to 
facilitate necessary and required use of the 
sink for maintaining sanitation and hygiene in 
connection with examinations; and 
a table with an impervious surface which shall 
be sanitized between patients. 
Surgery shall be performed in a manner compat- 
ible with current veterinary medical practice 
with regard to anesthesia, asepsis, life support 
and monitoring procedures as well as recovery 
care. The standards for current veterinary 
practice are made available to the licensee 
through the courses provided for mandatory 
continuing education. At all times, the mini- 
mum standards for surgery shall be: 
Surgery shall be performed in a room desig- 
nated and reserved for surgery. 
The surgery room shall be clean, orderly and 
well lighted. 

Sterilization must include a steam pressure 
sterilizer or autoclave equipment. Cold steril- 
ization may be used for field or septic condi- 
tions. 

Instruments and equipment utilized in the 
surgery room shall be commensurate with the 
type of surgical service being provided. 
Storage in the surgery room shall be limited to 
only items and equipment normally related to 
surgery and surgical procedures. 
Emergency drugs must be readily available to 
the surgery area. 

The operating table shall be constructed of a 
smooth and impervious material. 
There shall be a separate surgical preparation 
area. 

There shall be available for surgery sterilized 
instruments, gowns, towels, drapes, gloves, 
caps and masks. 

Regulated Oxyg e n oxygen under positive 
pressure shall be available. 
Hie facilities shall have the capability for use of 
either in-house or consultant laboratory service 
for blood chemistry, cultures and antibiotic 
sensitivity examinations, complete blood counts, 
histopathological examinations and complete 
necropsies. An in-house laboratory facility shall 
meet the following minimum standards: 
The laboratory room shall have ample storage 
space; 

Ample refrigeration shall be provided; 
All facilities must have, as a minimum, 
in-house capability for the following tests: 
urine tests, 

micro-hematocrit determination, 
flotation tests for ova of internal parasites, 
skin scrapings for external parasite diagno- 
sis, and 



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PROPOSED RULES 



(v) exams for circulating blood microfilaria or 
heartworm antigen assays . 

(11) The minimum standards for drug procedures 
shall be: 

(A) All controlled substances shall be stored, 
maintained, administered, dispensed and pre- 
scribed in compliance with federal and state 
laws. 

(B) Except for labeled manufactured drugs with 
proper instructions, all drugs dispensed shall 
be labeled with; 

(i) name, address and telephone number of 

the facility, 
(ii) name of client, 
(iii) animal identification, 
(iv) date dispensed, 
(v) directions for use, 
(vi) name and strength of the drug, and 
(vii) name of prescribing veterinarian. 

(C) A record of all drugs administered or dis- 
pensed shall be kept in the records of the 
individual animal, if the animal is a companion 
animal, or in the client's record, if the animal 
is an economic animal. 

(12) The following minimum standards shall apply to 
record keeping: 

(A) Ever>' veterinarian shall keep a writt e n r e port 
written reports or reports stored via com- 
puter/word processing and easily retrievable of 
the animals treated. This record shall include 
but not be limited to pertinent medical data 
such as dates and type of vaccinations and all 
relevant medical and surgical procedures on a 
daily basis^^ radiographs and laboratory data . 

(B) Records shall be kept for a period of three 
years following the last office visit or dis- 
charge of such animal from a veterinary facil- 
ity. 

(C) Records shall be maintained by individual 
animal for companion pet animals examined or 
treated in the facility' . 

(D) The recordkeeping requirement shall not apply 
to the treatment of economic animals except as 
provided in Paragraph (11)(C) of this Rule. 

(13) The following minimum standards shall apply to 
radiography: 

(A) capability and proof of use of either in-house 
or consultant services for obtaining diagnostic 
quality radiographs; 

(B) radiology equipment and use shall be in accor- 
dance with all federal and state laws; 

(C) all personnel using radiology equipment must 
wear radiation badges. 

(14) Cages, exercise areas, pens and stalls are to be 
kept in a clean and orderly condition, in a 
well-lighted area, and in good repair to prevent 
injury to animals and to promote physical com- 



fort. 

(15) All new veterinary facilities and all existing 
facilities changing ownership shall be inspected 
and approved by the Board prior to the practice 
of veterinary medicine within the facility. 

(16) The Board shall make periodic inspections of 
veterinary premises. Such inspection shall in- 
clude, but not be limited to, verification of 
compliance with this Rule. The Board shall 
make reinspections as necessary to ensure com- 
pliance with this Rule. 

(17) Violation of the standards for full acp i 'leo all 
veterinary hoiipitnb and clinics facilities covered 
by s e t in this Rule shall be grounds for disciplin- 
ary action as provided in G.S. 90-186 and 
90-187.8. 

(18) Violation of federal, state or a municipal laws or 
regulations regarding disposal of medical wastes. 

( 19) The following minimum standards shall apply to 
after hours emergency services. The veterinar- 
ian who is the owner, as well as the veterinarian 
who is in charge of the facility, shall provide 
this after hours emergency service by one or 
more of the methods listed below in Parts 
(b)(19)(A) through (C) of this Rule. If after 
hours emergency veterinary services shall be 
provided other than by the veterinarian who is 
the owner or who is the veterinarian in charge 
of the facility, the name, address and telephone 
numbers of the provider of the after hours 
emergency services shall be posted prominently 
at the facility in areas where this information is 
likely to be seen by persons coming to the 
entrances of the facility. 

(A) Availability by telephone, pager or answering 
machine; or 

(B) Membership in an after hours emergency 
services facility or organization that agrees 
with the veterinarian to assume the responsibil- 
ity for this care; or 

(C) A written agreement with another facility or 
veterinary emergency clinic located near or 
reasonably accessible to the facility and which 
provides emergency veterinary services. 

(20) All facilities where veterinary medicine is prac- 
ticed other than facilities providing limited 
veterinary services shall maintain the minimum 
standards as required by this Rule, unless s pecif- 
ically exempted by statute or Board rule in 
facilities providing limited veterinary services. 

Statutory Authority G.S. 90-185(6); 90-186(2). 

.0208 FACILITIES PROVIDING LIMITED 
VETERINARY SERVICES 

(a) If complete veterinary medical services are not offered 
in a mobile or satellite veterinary' clinic, an emergency 



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PROPOSED RULES 



veterinary hospital, or a house-call practice the public shall 
be so informed of the services which are not available by 
way of a posted notice, in plain view. The notice shall list 
all hospitals facilities in the area which offer the services not 
available in the facility. With respect to a mobile practice, 
including but not limited to a house-call or farm-call 
practice, members of the public who are or may become 
clients of the veterinary practice shall be informed in writing 
of the services which are not available at the mobile practice 
in a manner reasonably calculated to clearly communicate 
this information, at the First opportunity of inquiry or 
contact concerning delivery of veterinary services. 

(b) The minimum standards set in Rule .0207 for all 
veterinary premises apply equally to a facility covered by 
this Rule, except the standards that apply to services that are 
not available in the facility and of which the public is 
notified in the posted notice. 

(c) If emergency services are not available in the facility 
on a 24 hour basis , the veterinarians in charge of the facility 
must have a written agreement with a local clinic or hospital 
for the provision of emergency services. The name and 
address of the local clinic or hospital offering emergency 
services under the agreement shall be posted. The facility 
must also comply with the minimum standards set forth in 
Rule .0207(b)(19) of this Section regarding communicating 
information about after hours emergency medical service 
through a recorded, telephone answering service or pager 
accessible to persons calling the published telephone number 
of the facility. 

(d) If either hospitalization or radiology services are not 
available in the facility, the veterinarians in charge of the 
facility must have a written agreement with a local clinic or 
hospital for the provision of these services. The name and 
address of the local clinic or hospital offering hospitalization 
or radiology services under the agreement shall be posted. 

(e) No animal technician, veterinary student intern, 
employee or other assistant shall operate any facility covered 
by this Rule without the direct supervision of a licensed 
veterinarian on the premises. 

(f) If for any reason the veterinarian who is the owner, as 
well as the veterinarian who is in charge of the facility, does 
not obtain a written agreement or agreements as required by 
this Rule, the veterinarian shall be responsible for providing 
any or all of the services that would have been covered by 
the agreement or agreements. 

(g) ff)) Violation of this Rule shall be grounds for 
disciplinary action as provided in G.S. 90-186 and 90-187.8. 

Statutory Authority G.S. 90-185(6); 90-186(2); 90-186(3). 

.0209 LIMITED LIABILITY COMPANIES 

(a) Veterinary medical services may be provided through 
a limited liability company that complies with this Rule, 
Article 1 1, G.S. 90, the rules of the Board, and statutes 
governing limited liability companies, including G.S. 57C-2- 
OL 

(b) The name of a limited liability company organized to 



practice veterinary medicine shall not include any adjectives 
or other words not in accordance with Article 1 1, G.S. 90 
and the rules of the Board. 



(c) Tlie corporate name of a professional limited liability 
company registered under these Rules shall contain the 
wording "professional limited liability company," "profes- 
sional ltd, liability co.," "professional limited liability co.," 
or "professional ltd, liability company," or an abbreviation 
of one of the foregoing: "P.L.L.C." or "PLLC." 

(d) E)omestic professional limited liability companies must 
be formed and all limited liability companies must be 
operated in accordance with the requirements set out in G.S. 
57C. 

(e) Before filing the articles of organization for a profes- 
sional limited liability company with the Secretary of State, 
the organizing members shall submit the following to the 
Board: 

(1) A registration fee as set by Rule .0108 of this 
Chapter; and 

(2) A certificate certified by all organizing mem- 
bers, setting forth the names and addresses of 
each person who will be employed by the pro- 
fessional limited liability company to practice 
veterinary medicine, and stating that all such 
persons are duly licensed to practice veterinary 
medicine in North Carolina, and representing 
that the company will be conducted in compli- 
ance with the North Carolina Limited Liability 
Company Act (G.S. 57C). this Chapter, Article 
1 1, G.S. 90 and the rules of the Board . 

(D A certification that each of the organizing members is 
licensed to practice veterinary medicine in North Carolina 
shall be returned to the professional limited liability com- 
pany for filing with the Secretary of State. 

(g) A Certificate of Registration for a professional limited 
liability company shall be renewed annually. The Certifi- 
cate of Registration shall expire on the last day of December 
following its issuance by the Board and shall become invalid 
on that date unless renewed. Upon written application 
signed by its manager on a renewal form prescribed by the 
Board accompanied by the prescribed fee as set by Rule 
.0108 of this Chapter, the Board shall renew the Certificate 
of Registration providing that the professional limited 
liability company has complied with Article 11, G.S. 90, the 
rules of the Board and applicable General Statutes of North 
Carolina. 

(h) The Board may request in writing such supplemental 
reports as it deems appropriate from any professional 
limited liability companies registered with the Board 
pursuant to G.S. 57C, Article 11, G.S. 90, and these Rules. 
The professional limited liability company shall file such 
reports with the Board's office within 30 days from the date 
it receives the request. 

(i) Professional limited liability companies registered with 
the Board pursuant to G.S. 57C shall file a certified copy of 
all amendments to the articles of organization within 30 days 
after the effective date of each amendment. They shall also 



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November 15, 1995 2149 



PROPOSED RULES 



file a copy of any amendment to the bylaws, certified to be 
a true copy by the manager(s) of the professional limited 
liability company within 30 days after adoption of the 
amendment. 

(jj The Board shall issue a certificate authorizing transfer 
of membership when membership is transferred in the 
professional limited liability company. This transfer form 
shall be permanently retained by the company. The mem- 
bership books of the company shall be kept at the principal 
office of the company and shall be subject to inspection by 
authorized agents of the Board. Transfer of membership 
may only be to a person licensed to practice veterinary 
medicine in this State. 

(k) All documents required by these Rules to be submitted 
to the Board by the professional limited liability company 
shall be executed by the manager(s) of the professional 
limited liability company, and duly acknowledged before a 
notary public or some other officer qualified to administer 
oaths. 

Statutory Authority G.S. 57C-2-01: 90-181.1; 90-186. 

.0210 REGISTERED LIMITED LIABILITY 
PARTNERSHIPS 

(a) Any registered limited liability partnership created to 
deliver veterinary medical services must be created pursuant 
to and in compliance with G.S. 59 and Article 1 1, G.S. 90 
and the rules of the Board. 

(b) All partners of a registered limited liability partner- 
ship organized under this Rules shall hold a license to 
practice vetennary medicine issued by the Board. 

(c) A veterinarian who engages in the practice of veteri- 
nary medicine through a limited liability partnership must 
comply with the registration and other requirements of this 
Chapter, Article 11, G.S. 90, and the rules of the Board. 

(d) A registered limited liability partnership created to 
deliver veterinary medical services and each of its partners 
must comply with Article 1 1, G.S. 90 and the rules of the 
Board with respect to the prior approval of the name of the 
partnership, including the provisions of G.S. 90-181 . 1. 

(e) Limited liability partnerships organized under this 
Rule must be organized and operated in accordance with the 
requirements of G.S. 59. A limited liability partnership 
organized under this Rule to deliver veterinary medical 
services must register with the Board both prior to the 
delivery of any professional services and prior to registra- 
tion with the office of the Secretary of State of North 
Carolina as required by G.S. 59-84.2. 

(f) To register the limited liability partnership with the 
Board, the partners of a veterinary limited liability partner- 
ship must submit to the Board: 

(1) A registration fee as required by Rule .0108 of 
this Chapter; and 

(2) A certificate setting forth the names and ad- 
dresses of each veterinarian who is a partner of 
the limited liability partnership, a representation 
that the partnership will be conducted in compli- 



ance with G.S. 59 as well as Article 1 1 , G.S. 90 
and the rules of the Board, as well as bearing 
the notarized signatures of the partners subscrib- 
ing to the documents certifying to the accuracy 
of the statements made therein. 
(g) The Board shall furnish the limited liability partner- 
ship a Certificate of Registration from the Board certifying 
that each of the organizing partners is licensed to practice 
veterinary medicine in North Carolina, said Certificate to be 
filed by the limited liability partnership with the Secretary 
of State. 

(h) TTie Certificate of Registration for a limited liability 
partnership shall be renewed annually in order to continue 
to be effective. 

(i) The Board may request in writing such supplemental 
reports as it deems appropriate from any limited liability 
partnership registered with the Board pursuant to G.S. 59 
and these Rules. The limited liability partnership shall file 
such reports with the Board's office within 30 days from the 
date it receives the request. 

(i) Limited liability partnerships registered with the Board 
pursuant to G.S. 59 shall file a certified copy of all amend- 
ments to the partnership agreement within 30 days after the 
effective date of each amendment. They shall also file a 
copy of any amendment to the bylaws, certified to be a true 
copy by the managing partner of the limited liability 
partnership within 30 days after adoption of the amend- 
ments. 

Statutory Authority G.S. 59-84.2; 59-84.3; 90-181.1; 90- 
186. 

SECTION .0300 - APPLICATION, EXAMINATION 
AND LICENSING PROCEDURES 

.0301 APPLICATION AND EXAMINATION 

(a) All applicants for a license to practice veterinary 
medicine shall complete, sign and return the a pplication 
form for veterinary license available from the Board. 

(*) (bj All applicants for license by examination must 
successfully pass the licensure examination which is to be 
administered at least once annually. The Board ff»y will 
review and evaluate the validity and accuracy of information 
contained in an application for examination, licensure. If 
the prerequisites of G.S. 90-187 and G.S. 90-187.1 are met, 
the Board shall admit the applicant to the examination. 

fb) (c) The nature of the examination is to determine the 
applicant's minimum competency to practice veterinary 
medicine within the state of North Carolina. The Board 
shall administer, in conformity with the testing service 
criteria, the Clinical Competency Test (CCT) and National 
Board Examination (NBE) as prepared by the Professional 
Examination Ser i doo Board or any other a qualified licen- 
sure examination service adopttKl approved by the Board. 

fe^ (d) The Board shall also administer a special North 
Carolina Practice Act Test Examination to evaluate the 
applicant's knowledge of Article 1 1 of Chapter 90 and 21 



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NCAC 66 of the North Carolina Administrative Code. 

(d) £ei The Board shall annually establish the passing 
score for the current CCT^ aed NBE^ and the North 
Carolina Examination, which shall include examination on 
the statutes and administrative rules govemlng the practice 
of veterinary medicine in the State . 

(^ (f) The Executive Soorotar)' Director shall notify all 
applicants of the score received on the examinations. 
Thereafter, if all information has been verified as correct 
and truthful, and if the requirements of G.S. 90-187 and 
G.S. 90-187.1 have been met, he shall issue a oertifioat e of 
registration license to those successfully completing passing 
the examinations. 

(g) This Section does not apply to ]^ licensure, 
reUcensure or reinstatement of a veterinarian whose license 
has been suspended or revoked by the Board or who 
presently has a complaint or other matter pending in another 
state or jurisdiction that has or may result in discipline 
against the applicant's license to practice veterinary medi- 
cine in that State. 

{h} In determining whether to issue a license to practice 
veterinary medicine, the Board may consider all information 
obtained as a result of the application, including but not 
limited to all testing information, including examination 
scores of the examinations identified herein; and information 
obtained pursuant to the requirements of Rule .0310 of this 
Section or information obtained about the applicant which 
the applicant was required to have furnished. 

Statutory Authority G.S. 90-185(1); 90-185(6); 90-187; 90- 
187.1. 

.0303 SPECIAL REG./VETERINARY TECH., 
INTERNS/PRECEPTEES; RENEWAL 
OF TECHNICIAN REGISTRATION 

(a) Applications for registration as a veterinary techni- 
cian, veterinary student intern, or veterinary student 
preceptee must be on application forms provided by the 
Board, accompanied by the required application fee. 
AppUcants must be at least 1 8 years of age and must be of 
good moral character. 

(b) To become registered as a veterinary technician, the 
applicant must meet the qualification requirements of G.S. 
90-181(11). The suooosaful completion of the National 
Examination for Tochnicions as prepared hy tho Professional 
Examination S e r i 'io e and th e North Carolina Oral Praotiool 
T e st shall be a pr e r e quisit e to r e gistration as a v e t e rinary 
technician. — An applicant successfully scoring 70 porcont or 
higher shall bo doomed to have achieved a passmg score. 
All applicants must successfully pass the North Carolina 
Veterinary Technician Examination administered by the 
Board. Applicants who meet the criteria of G.S. 90- 
181(1 l)a must also successfully pass the National Examina- 
tion for Technicians as prepared by the Board or a qualified 
licensure examination service approved by the Board. 

(c) To become registered as a veterinary student intern or 
veterinary student preceptee, no examination is required but 



the applicant must demonstrate to the satisfaction of the 
Board that he meets the qualification requirements of G.S. 
90-181(9) and (10) and is currently employed by a licensed 
veterinarian who directs ©f and supervises his work. 

(d) Upon information or complaint, tho Board may revoke 
or susp e nd th e r e gistration of, or othor ^ 'ioo diooiplin e , any 
vet e rinary' toohnioion, v e t e rinar>' stud e nt int e rn or v o torinar 
ian student precoptoo upon any of tho following grounds: 

^ Tho unlawful practice of votorinary medicino, 

e xo e pt as p e rmitted by and within th e limits o f 
th e r e gistration as d e fm e d herein and in G.S. 
90 187.6. — Tho sorvioos of a tochnician, intom, 
or other votorinary omployco shall bo limited to 
ser . 'iooo undor th e dir e ction and sup e r i 'ision of 
a lioonsod votorinarian. — Such sup e rs'loion and 
direction shall bo construed to roquiro tho physi 
cal prosonco of tho votorinarian. — Tho rendering 
of vet e rinary m e dical sor i 'ioos in a oatollito 
oLinio, mobil e clinic, e m e rg e ncy olinio or oth e r 
facihty ' ^ 'horo tho supervising votorinarian is not 
on tho promises shall subject tho registrant to 
revocation of r e gistration. 

(3) Th e violation of G.S. 90 1 8 7.6(b) oonoomi ag 

tho accoptanco of a foe or compensation. 

0) Roprosonting to mombors of tho public that tho 

r e gistrant is a lio e no e d v e t e rinarian or othsr^viso 
misl e ading th e public in tho belief that tho 
registrant is a licensed veterinarian. 

( 4 ) Any other grounds for disciplinary action appli 

cabl e to lio e noed veterinarians as d e fin e d in G.S. 
90 1 8 7. 8 or tho rules of th e Board. 
(d) All registrations of veterinary technicians shall be 
renewed every 24 months upon payment by the registrant of 
the renewal fee adopted by the Board, provided the regis- 
trant is otherwise eligible for renewal. 

Statutory Authority G.S. 90-185(6); 90-186(3); 90-187.6. 

.0304 DISCIPLINE OF VETERINARY 

TECHNICUNS, INTERNS/PRECEPTEES: 
MANDATORY STDS OF CONDUCT 

Upon information or complaint, the Board may revoke or 
suspend the registration of, or otherwise discipline, any 
veterinary technician, veterinary student intern or veterinar- 
ian student preceptee upon any of the following grounds: 
(1) The unlawful practice of veterinary medicine, 
except as permitted by and within the limits of the 
registration as defined herein and in G.S. 
90-187.6. The veterinary medical services of a 
technician, intern, or other veterinary employee 
shall be limited to those services permitted by 
G.S. 90-187.6 under the direction and supervision 
of a licensed veterinarian. Such supervision and 
direction shall be construed to require the physical 
presence of the veterinarian in the facility at a 
proximity close enough to conduct the appropriate 
level of supervision for the particular task being 



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PROPOSED RULES 



performed by the employee. The rendering of 
veterinary medical services in a satellite clinic, 
mobile clinic, emergency clinic or other facility' 
where the supervising veterinarian is not on the 
premises shall subject the registrant to revocation 
of registration. 
(2} The violation of G.S. 90-187. 6(1j) concerning the 
acceptance of a fee or compensation. 

(3) Representing to members of the public that the 
registrant is a licensed veterinarian or otherwise 
misleading the public in the belief that the regis- 
trant is a licensed veterinarian. 

(4) Any other grounds for disciplinary action applica- 
ble to licensed veterinarians as defined in G.S. 



of Statutory Authority G.S. 90-185(6); 90-187.4. 



90-187.8 or the rules of the Board. 
All registrations of votorinar>' tochnioion s s hall expir e 
biennially on Doocmbcr 3 1 of ovon i ' other year, but may bo 
ren e w e d by application to th e Board and paym e nt of a 
r e n e wal foe of fiv e dollars ($5.00) p e r y e ar. 

Statutory Authority G.S. 90-185(6); 90-186(3). 

.0305 TEMPORARY PERjMITS 

(a) Applicants for temporary' permits shall apply to the 
Board utilizing the application form for a temporar}' permit. 
The Board or its designee shall not act upon the application 
until fully completed. The Board may independently verify 
the information provided on the form by the applicant. 

(b) Applicants for temporary permits must meet the 
qualifications as established in G.S. 90-187.4. No tempo- 
rary permits will be issued to applicants who are not 
graduates of an accredited school of veterinary medicine as 
defined by the American Veterinary Medical Association. 
At the time of submission of an application for a temporary 
permit, the applicant shall provide to the Board the name(s) 
and location(s) of the licensed veterinarian(s) within the state 
who shall be the supervising veterinarian(si. TTie supervis- 
ing veterinarian(s) shall be in good standing with the Board 
and an active practitioner(si within the State for th e thr ee 
years procoding the application . The Board, or its designee. 
shall approve the application and notify the applicant before 
the applicant shall be authorized to engage in the supervised 
practice of veterinary medicine within the state. 

(c) A temporary permit shall expire or be revoked as 
provided in G.S. 90-187.4 and no official notification of the 
revocation or expiration shall be given to the permittee. 
Temporar}' permits may not be renewed but may be reis- 
sued, within the discretion of the Board, after submission 
of a new application. 

(d) The Board shall determine the restrictions for the 
temporary permit, which restrictions shall be recorded on 
the permit. In addition to any other restrictions or condi- 
tions imposed by the Board, the supervising veterinarian 
shall ensure that another veterinarian is available to super- 
vise the holder of the temporary permit on those occasions 
'A hen the supervising veterinarian is unable to be available 
for supervision. 



.0306 LICENSE WITHOUT EXAMINATION 

(a) TTie Board may issue a license without written 
examination other than the North Carolina License Examina- 
tion to a qualified applicant who meets the criteria as 
established in G.S. 90-187.3. 

(b) An applicant must certify that he is currently an 
active, competent practitioner in good standing and this 
certification must be verified by the state licensing Board 
from the applicant's most recent clinical practice. An 
applicant is deemed to have practiced in another state at 
least three of the last five years immediately preceding his 
application if the applicant certifies that he has engaged in 
the unexempt practice of veterinary medicine as defined in 
the North Carolina Practice Act for that length of time. The 
licensure requirements in the other state are deemed substan- 
tially equivalent to those required by this state if the other 
state adrmnistered the same standardized licensing tests 
(excluding the North Carolina Practice Act Test) as were 
administered in North Carolina at the time of the applicant's 
original licensing in the other state and the tests were graded 
in accordance with North Carolina grading criteria. 

(c) The Board may orally or practically examine any 
person qualifying for licensing under this Rule by adminis- 
tering a nationally recognized clinical test and the North 
Carolina Pmotio e Act T e st, in addition to the North Carolina 
Examination. 

Statutory Authority G.S. 90-185(6); 90-187.3. 

.0307 REVOCATION/SUSPENSION/ 

TEMPORARY PERMFTS/SPECIAL 
REGISTRATIONS 

(a) A temporary permit may be summarily revoked by a 
majority vote of the Board upon notice but without a 
hearing. 

("b) A sp e cial The registration of a veterinary assistant 
technician may be suspended or revoked, and the assistant 
technician may be disciplined, in accordance with the same 
due process procedures as are provided for individual 
licenses and corporate registrants under the provisions of 
G.S. 150B or G^ 90^ Article 11. of th e North Carolina 
General Statutes, or Board Rules. 

Statutory Authority G.S. 90-185(6); 90- 187. 4(b); 90-187.8. 

.0308 REINSTATEMENT AFTER REVOCATION 

An}' person whose license or registration has been sus- 
pended or revoked may apply for reinstatement without 
written examination subject to any terms and conditions as 
contained in the final agency decision issued by the Board 
upon revoking or suspending the person's license or regis- 
tration. The Board, at its discretion, may conduct a 
fact-finding hearing to determine th e moral fitness or stat e 
of rehabilitation of any person applying for rcinstatomont. 
whether sufficient cause exists to justify', in the discretion of 



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the Board, the reissuance of the license or registration. 

Statutory Authority G.S. 90-185(6); 90-187.9. 

.0310 PENDING COMPLAINT/DISCIPLINE 
AGAINST APPLICANTS LICENSED/ 
REGISTERED IN OTHER STATES 

(a) Upon complaint or information, and within the 
Board's discretion, the Board may deny a license required 
by Article 11, G.S. 90. 

(b) Applicants for a license to practice veterinary medi- 
cine may be required upon initial application to inform the 
Board in writing of any prior discipline or administrative 
action, or the equivalent thereof, against the applicant's 
license to practice veterinary medicine in another state or 
jurisdiction; or any pending complaint or unresolved 
disciplinary or administrative action, or the equivalent 
thereof, against the applicant's license to practice veterinary 
medicine in another state. 

(c) The applicant shall be required to furnish or give the 
Board permission to obtain true and accurate copies of 
documents relevant to consideration of the prior or pending 
disciplinary action. 

(d) In reviewing an applicant's application, the Board may 
consider information determined to be reliable, including but 
not limited to information from the National Disciplinary 
Data Base about the licensee, or information obtained from 
other state veterinary medical boards, or other federal or 
state agencies. 

(e) The applicant for license to practice veterinary 
medicine may be required to furnish all facts relating to the 
existence of any pending charges alleging violation of a 
federal or state criminal statute or law, in this or any other 
country. 

Statutory Authority G.S. 90-185(2); 90-185(6); 90-186(3); 
90-187; 90-187.3. 

.0311 LIMITED VETERINARY LICENSE 

(a) A "limited veterinary license" or "limited license" is 
a license as defined in G.S. 90-181(4). 

(b) The terms and restrictions of the scope or areas of 
practice of veterinary medicine of the holder of the limited 
veterinary license shall be determined by the Board upon 
consideration of all criteria deemed relevant by the Board in 
its discretion to effectuate the purposes of the limited 
license, including but not limited to: 

(1) whether the applicant is licensed to practice 
veterinary medicine in other states of the United 
States, or other countries or jurisdictions, and 
whether those licenses are in good standing at 
the time of the consideration of the application; 
and 

(2} the length of time the applicant has been licensed 
in good standing to practice veterinary medicine; 
and 

(3) the reasons which the applicant offers for re- 



questing a limited veterinary license; and 
£4} whether facts available to the Board indicate the 

a pplicant's application has merit; and 
(5) any other criteria bearing directly upon appli- 
cant's capability and need for a limited veteri- 
nary license. 

Statutory Authority G.S. 90-185(1); 90-185(6); 90-181(4). 

SECTION .0600 - ADMINISTRATIVE HEARINGS: 
PROCEDURES 

.0601 COMMITTEE ON INVESTIGATIONS 

(a) Upon receipt of a charge alleging misconduct against 
a licensee or registrant of the Board, the Executive S e or e 
tftfy Director shall inform the accused party of the nature of 
the charges as filed with the Board. 

(b) The accused party shall respond to the charges by 
filing a written answer with the Board within 20 days of the 
receipt of the notification of charges. 

(c) The complaining party shall be provided with a copy 
of the accused party's answer and within 20 days from 
receipt thereof shall file a reply to the accused party's 
answer. 

(d) The charges as filed with the Board, the answer and 
reply may be referred to the Committee on Investigations 
(hereinafter referred to as "Committee"). The Committee 
shall consist of three members of the Board, one of whom 
shall serve as chairman. 

(e) The Committee shall investigate the complaint referred 
to it by the Board and as part of the investigation may: 

(1) Assign the complaint to the Board's investigator 
who shall submit a written report to the Com- 
mittee. 

(2) Invite the complaining party and the accused 
party before the Committee to receive their oral 
statements, but neither party shall be compelled 
to attend. 

(3) Conduct any other type of investigation as is 
deemed appropriate by the Committee. 

(f) Upon the completion of the investigation, the Commit- 
tee shall determine whether or not there is probable cause to 
believe that the accused party has violated any standard of 
misconduct which would justify a disciplinary hearing based 
uf)on the grounds as specified in Article 1 1 of Chapter 90 of 
the North Carolina General Statutes or this Chapter. 

(g) If probable cause is found, the Committee shall direct 
the legal counsel for the Board to file a Notice of Hearing. 

(h) If probable cause is found, but it is determined that a 
disciplinary hearing is not warranted, the Committee may 
issue a reprimand to the accused party. A statement of such 
reprimand shall be mailed to the accused party. Within 15 
days after receipt of the reprimand, the accused party may 
refuse the reprimand and request that Notice of Hearing be 
issued pursuant to Chapter 150B of the North Carolina 
General Statutes or this Chapter. Such refusal and request 
shall be addressed to the Committee and filed with the 



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PROPOSED RULES 



Executive Soerotar)' Director for the Board. The legal 
counsel for the Board shall thereafter prepare and file a 
Notice of Hearing. If the letter of reprimand is accepted, a 
record of the reprimand shall be maintained in the office of 
the Board. 

(i) If no probable cause is found, the Committee shall 
dismiss the charges and prepare a statement of the reasons 
therefore which shall be mailed to the accused party and the 
complaining party. 

(j) If no probable cause is found, but it is determined by 
the Committee that the conduct of the accused party is not 
in accord with accepted professional practice or may be the 
subject of discipline if continued or repeated, the Committee 
may issue a letter of caution to the accused party stating that 
the conduct, while not the basis for a disciplinary hearing, 
is not professionally acceptable or may be the basis for a 
disciplinary hearing if repeated. A record of such letter of 
caution shall be maintained in the office of the Board. 

fk) A Board member who has served on the Committee 
is deemed disqualified to act as a presiding officer or 
member of the Board assigned to render a decision in any 
administrative disciplinary proceeding brought pursuant to 
a Notice of Hearing for which that member has sat in an 
investigative capacity as a member or chairman of the 
Committee. 

(1) The Board may assess and recover against persons 
holding licenses, limited licenses, temporary permits, faculty 
certificates. Zoo veterinary certificates or any certificates of 
registration issued by the Board, costs incurred by the Board 
for the following expenses, respectively, that have been 
incurred by the Board in the investigation, prosecution, 
hearing or other administrative action in final decisions or 
orders where those persons are found to have violated the 
Veterinary Practice Act or Administrative Rules of the 
Board: 

( 1 ) legal expenses, including reasonable attorney 
fees, incurred by the Board; and 

(2) witness fees and statutorily-allowed expenses for 
witnesses; and 

(3) direct costs of the Board in taking or obtaining 
of depositions of witnesses; and 

(4) costs incurred by reason of administrative or 
staff time of employees of the Board directly 
attributable to the action leading to the final 
decision or order. 

The costs assessed may be assessed pursuant to final 
decision or orders entered with or without the consent of the 
person holding the respective license, registration permit or 
certificate; no costs referred to in this Paragrap h will be 
assessed against a person holding a respective license, 
permit registration or certificate for an investigation or 
action in the nature of disciplinary action other than a final 
decision or order of the Board, unless and except expressly 
consented to by said person in a Consent Order approved by 
the Board. 

(m) A civil monetary penalty of ug to five thousand 
dollars ($5,000) for each violation of Article 1 1, G.S. 90 or 



Board rule may be imposed and collected from a person 
holding a license (the word "license" is as defined in G.S. 
90-187. 8(a)) upon a finding by the Board of the relevant 
factor or factors in G.S. 90-187. 8(b)(1) through (6). With 
respect to this subsection, the phrase "violation of Article 
11. G.S. 90 or Board rule" shall be deemed to mean Article 
1 1. G.S. 90, the Veterinary Practice Act, or the administra- 
tive rules of the Board, and shall include final decisions, 
orders, and consent orders, letters of reprimand and other 
permitted disciplinary actions, but it expressly excludes 
letters of caution issued by the Board. 

Statutory Authority G.S. 90-185(3): 90-185(6); 90-186(7). 

.0606 WHO SHALL HEAR CONTESTED CASES 

All contested case hearings will be conducted by the full 
Board or by a panel consisting of at least a majority of the 
members of the Board provided, however, the term "mem- 
bers" shall not be deemed to include a vacant position of a 
board member, whether the vacancy is the result of resigna- 
tion, non-appointment, or other cause . An individual who 
has been granted a hearing or is a party to a contested case 
who has received a notice of hearing may stipulate that a 
contested case hearing may be conducted by a panel consist- 
ing of fewer than a majority of the members of the Board. 
When required by Chapter 150B of the North Carolina 
Statutes the Board shall apply to the Office of Administra- 
tive Hearings for the designation of an administrative law 
judge to hear the case pursuant to G.S. 150B-40(e). 

Statutory Authority G.S. 90-185; 150B-11; 150B-38; 150B- 
40. 

SECTION .0700 - ADMINISTRATIVE HEARINGS: 
DECISIONS: RELATED RIGHTS 

.0703 SUBPOENAS 

(a) Requests for subpoenas for the attendance and 
testimony of witnesses or for the production of documents, 
either at a hearing or for the purposes of discovery, shall be 
made in writing to the Board, shall identify any document 
sought with specificity, and shall include the full name and 
home or business address of all persons to be subpoenaed 
and, if known, the date, time, and place for responding to 
the subpoena. TTie Board shall issue the requested subpoe- 
nas within five days of receipt of the request. 

(b) Subpoenas shall contain: the caption of the case: the 
name and address of the person subpoenaed; the date, hour 
and location of the hearing in which the witness is com- 
manded to appear; a particularized description of the books, 
papers, records or objects the witness is directed to bring 
with him to the hearing, if any; the identity of the party on 
whose application the subpoena was issued; the date of 
issue; the signature of one of the members of the Board or 
the Board's Executive S e cr e tary ; Director; and a "return of 
service". The "return of service" form, as filled out, shows 
the name and capacity of the person serving the subpoena, 



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the date on which service was made, the person on whom 
service was made, the manner in which service was made, 
and the signature of the person making service. 

(c) Subjxjenas shall be served by the sheriff of the county 
in which the person subpoenaed resides, when the party 
requesting such subpoena prepays the sheriffs service fee. 
The subpoena shall be issued in duplicate, with a "return of 
service" form attached to each copy. A person serving the 
subpoena shall fill out the "return of service" form for each 
copy and properly return one copy of the subpoena, with the 
attached "return of service" form completed, to the Board. 

(d) Any person receiving a subfxjena from the Board may 
object thereto by filing a written objection to the subpoena 
with the Board's office. 

(e) Such objection shall include a concise, but complete, 
statement of reasons why the subpoena should be revoked or 
modified. These reasons may include lack of relevancy of 
the evidence sought, or any other reason sufficient in law 
for holding the subpoena invalid, such as that the evidence 
is privileged, that appearance or production would be so 
disruptive as to be unreasonable in light of the significance 
of the evidence sought, or other undue hardship. 

(f) Any such objection to a subpoena must be served on 
the party who requested the subpoena simultaneously with 
the filing of the objection with the Board. 

(g) The party who requested the subpoena, in such time 
as may be granted by the Board, may file a written response 
to the objection. The written response shall be served by 
the requesting party on the objecting witness simultaneously 
with filing the response with the Board. 

(h) After receipt of the objection and response thereto, if 
any, the Board shall issue a notice to the party who re- 
quested the subpoena and the party challenging the sub- 
poena, and may notify any other party or parties of an open 
hearing, to be scheduled as soon as practicable, at which 
time evidence and testimony may be presented, limited to 
the narrow questions raised by the objection and response. 

(i) Promptly after the close of such hearing, the majority 
of the Board members hearing the contested case will rule 
on the challenge and issue a written decision. A copy of the 
decision will be issued to all parties and made a part of the 
record. 

Statutory Authority G.S. 90-185; 150B-11; 150B-38; 150B- 
39. 



TITLE 25 - OFFICE OF STATE PERSONNEL 

Notice is hereby given in accordance with G.S. 
1503-21. 2 that the Office of State Personnel intends to 
amend rules cited as 25 NCAC IB .0201, .0203 - .0205, 
.0207, .0213, .0414, .0431, .0437; IC .0412; repeal rules 
cited as 25 NCAC IB .0206; ID .2301 - .2305; and adopt 
rules cited as 25 NCAC IB .0438 - .0439; ID .0520. 

Proposed Effective Date: February 1, 1996. 



A Public Hearing will be conducted at 9:00 am on Decem- 
ber 7, 1995 at the State Personnel Development Center, 101 
West Peace Street, Raleigh, NC 27603. 

Reason for Proposed Action: 

25 NCAC IB .0201, .0203 - .0205, .0207, .0213 - These 
rules are being amended in order to clarify the role of the 
commission administrator with respect to the rule-making; to 
correct the address of the State Personnel Commission and 
the Director of the OSP; to clarify the situations where any 
fees may be awarded and the causes for reinstatement; and 
to make changes in the SPC case management procedures. 
25 NCAC IB .0206 - This rule is being repealed because the 
process involved is no longer available. 
25 NCAC IB .0438 - .0439 - These rules are being adopted 
to clarify the basis for the awarding of attorney fees by the 
SPC and to clarify the grounds, time limit and procedure for 
seeking a continuance of a contested case. 
25 NCAC IC .0412 - This rule is proposed to be amended 
in order to offer guidance and clarification to state agencies 
in determining personnel changes subject/not subject to a 
probationary period. 

25 NCAC ID .0520 - This rule proposed to be adopted in 
order to offer guidance and clarification to state agencies 
regarding the term appointment eruled. 
25 NCAC ID .2301 - .2305 - These rules no longer applica- 
ble because pay scale has been changed. 

Comment Procedures: Interested persons may present 
statements either orally or in writing at the Public Hearing 
or in writing prior to the hearing by mail addressed to: 
Patsy Smith Morgan, Office of State Personnel, 116 West 
Jones Street, Raleigh, NC 27603. 

Fiscal Note: These Rules do not affect the expenditures or 
revenues of state or local government funds. 

CHAPTER 1 - OFFICE OF STATE PERSONNEL 

SUBCHAPTER IB - STATE PERSONNEL 
COMMISSION 

SECTION .0200 - RULE-MAKING 

.0201 CONTENT AND PROCEDURE 

(a) Any person wishing to submit a petition requesting the 
adoption, amendment, or repeal of a rule of the Commission 
shall address a petition to: 

Dir e ctor of Administrator. State Personnel Commission 

Dopartmont of Administration 

Office of State Personnel 

1 16 West Jones Street 

Raleigh, North Carolina 27611 27603-8004 

(b) The petition ahould shall contain the following 
information: 

( 1 ) either a draft of the proposed rule or a summary 
of its contents; 



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(2) reason for proposal; 

(3) effect on existing rules or orders; 

(4) any data supporting proposal; 

(5) effect fiscal note on the impact of the proposed 
rule on existing practices in the area involved, 
including cost factors; 

(6) names of those most likely to be affected by the 
proposed rule with addresses if reasonably 
known; 

(7) name(s) and address(es) of petitioner(s). 

(c) The dir e otor Administrator will examine the petition 
and weigh the information therein in relation to the public 
interest. He— The Administrator will consider all the 
contents of the submitted petition, plus any additional 
information be the Administrator deems relevant. In so 
doing, the director Administrator is empowered to seek a 
resolution of the matter to the satisfaction of the commission 
Commission . If this is not accomplished, he the Adminis- 
trator will make a recommendation to the oommiagion 
Commission for the denial of the petition or the institution 
of rule-making proceedings, as the case may be. 

(d) At the next regularly scheduled Commission meeting 
within Within 60 days of after submission of the petition, 
the commiooion Commission will render a final decision. If 
the decision is to deny the petition, the exocutivo diroctor 
Administrator will notify the petitioner in writing, stating 
the reasons therefor. If the decision is to grant the petition, 
the commioaion Commission , within 30 days of submission, 
will initiate rule-making proceedings by issuing a rule- 
making notice, as providod in thoso rul e s in accordance with 
the requirements of Title 26 of the North Carolina Adminis- 
trative Code. 

Statutory Authority G.S. 1 508- 16. 

.0203 ADDITIONAL INFORMATION 

Persons desiring information in addition to that provided 
in a particular rule-making notice may contact: 

Diroctor of Administrator, State Persoimel Commission 

Department of Administration 

Office of State Personnel 

1 16 West Jones Street 

Raleigh, North Carolina 27611 27603-8004 



(b) Notice may be waived or a failure to give notice may 
be excused by the presiding officer for good cause. Any 
person jjermitted to make an oral presentation is encouraged 
to must submit a written copy of the presentation to the 
direotor Administrator or other hearing officer prior to or at 
the public hearing. 

Statutory Authority G.S. ] SOB- 12(d). 

.0205 ORAL PRESENTATIONS 

A request to make an oral presentation must contain a 
brief summary of the individual's views with respect 
thereto, and a statement of the length of time the individual 
desires. Presentations may not exceed 4-5 three minutes 
unless, upon request, either before or at the hearing, the 
commission Commission should grant an extension of time. 

Statutory Authority G.S. 150B-129d). 

.0206 ACKNOWLEDGMENT OF REQUESTS 

Upon rec e ipt of a requ e st to make an oral preoontation. tho 
direotor will do acknowl e dg e and inform th e r e qu e sting 
party of tho imposition of any limitations doomed necossar)' 
to tho end of a full and offoctivo public hearing on tho 
propos e d rul e . 

Statutory Authority G.S. 1 SOB- 12(d). 

.0207 WRTTTEN SUBMISSIONS 

(a) Any person may file a written submission containing 
data, comments, or arguments after publication of a rule- 
making notice up to, and including the day of the public 
hearing unless a longer period is stated in the notice or an 
extension of time is granted for good cause following notice. 
Written submissions except when otherwise stated in the 
particular rule-making notice must be sent to: 



mission 



Director of Administrator, State Personnel Com- 

Dopartment of Administration 

Office of State Personnel 

1 16 West Jones Street 

Raleigh, North Carolina 27611 27603-8004 



Statutory Authority G.S. lSOB-12. 

.0204 PRESENTATIONS 

(a) Any person desiring to present oral data, views, or 
arguments on the proposed rule must, at or at least five days 
before the public hearing, file a notice with: 

Director of Administrato r, State Personnel Commission 

D e partment of Administration 

Office of State Personnel 

1 16 West Jones Street 

Raleigh, North Carolina 27^+4- 27603-8004 



(b) Such submissions must clearly state the rule(s) or 
proposed rule(s) to which the comments are addressed. 

Statutory Authority G.S. 1 SOB- 12(e). 

.0213 REQUESTS FOR DECLARATORY RULING 

All requests for declaratory rulings shall be written and 
mailed to : 

Director of Stat e P e rsonnel 
Department of Administration 
Office of State Personnel 



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116 West Jones Street 

Raleigh. North Carolina S7444 27603-8004 

Statutory Authority G.S. 1 SOB- 17. 

SECTION .0400 - APPEAL TO COMMISSION 

.0414 SITUATIONS IN WfflCH ATTORNEY 
FEES MAY BE AWARDED 

Attorney's fees may be awarded by the oommiooi eB 
Commission only in the following situations: 

(1) the grievant is reinstated to tho aamo or similar 
position from a demotion or a dismi -ssat in accor- 
dance with Rule .0428 ; 

(2) the grievant is awarded back pay from either a 
demotion or a dismissal, without regard to 
whether the grievant has been reinstated; 

(3) the grievant is determined, by the oommiooion 
Commission or by the agency's internal grievance 
procedure, to have been discriminated against in 
violation of G.S. 126-16 or 126-36 ; 

(4) the grievant is awarded back pay as the result of 
a successful grievance alleging a violation of G.S. 
126-7.1; 

(5) the grievant is the prevailing party in an appeal of 
a Commission decision; 

(6) any combination of the situations listed in this 
Rule. 

Attorney's fees may be awarded when any of the above 
situations occur, either within the agency internal grievance 
prooodur e procedure, in an appeal to the State Personnel 
Commission , or in an appeal of a te the State Personnel 
Commission decision . 

Statutory Authority G.S. 126-4(11); 126-7.1. 

.0431 CAUSES FOR REINSTATEMENT 

The State Personnel Commission shall order reinstatement 
from dismissal or demotion only upon a finding of lack of 
substantive just cause or discrimination prohibited by 
N.C.Gen. Stat. 126-16 or 126-36 . For the purpose of this 
Rule, and in addition to those matters normally constituting 
just cause, failure to give issue the required number and 
kind of warnings or other disciplinary actions prior to 
dismissal for unsatisfactory job performance shall also be 
considered to constitute a lack of substantive just cause. 

Statutory Authority G.S. 126-4(9); 126-35; 126-37. 

.0437 APPEAL TO THE STATE PERSONNEL 
COMMISSION: PROCEDURES 

(a) The State Personnel Commission shall receive the 
record n the contested cases forwarded by the Office of 
Administrative Hearings and make a final administrative 
decision in the case. The Administrator to the Commission 
Office of State Poraonnol shall be responsible for the 
administrative management of contested cases coming before 



the Commission for its review and decision. 

(b) Oral Argument. Either party to a contested case may 
request the opportunity to apfjear before the State Personnel 
Commission and make oral argument. Such arguments must 
be based solely on the information contained in the record 
submitted by the OAH. Oral arguments must be requested 
in writing no more than 15 calendar days after notice of 
review by the Commission has been sent to the parties. The 
notice of review shall contain the date, time and place of the 
Commission meeting at which the case will be reviewed. If 
a party fails to request oral argument in a timely fashion, 
that party may mot present oral argument without specific 
permission from the full Commission. Each party request- 
ing oral argument shall be allotted a maximum of 15 
minutes for the presentation, unless the time period is 
extended by a vote of the Commission. 

(c) Briefs, Legal Memoranda, Attorney's Fees Requests. 
All briefs, and legal memoranda m e moranda, or attorn e y's 
f ee s r e qu e sts must be received by the Office of State 
Personnel no later than 10 working days prior to the date of 
the Commission meeting for which a case is scheduled for 
review. Such documents must also be served upon submit 
t e d on a tim e ly basis to the opposing party. Such a docu- 
ment received after the deadline will be presented to the 
Commission only after the party has shown that the oppos- 
ing party r e c e iv e d was served with the document at least 10 
working days before the Commission meeting and the 
Commission has voted to receive it. Attorney's Fees 
Requests must be presented to the Commission by the 
prevailing party to a Commission Decision and Order at 
least one month before the meeting at which the matter is to 
be considered. Such requests must also be served upon the 
opposing party. The Commission will notify the parties 
upon the receipt of a request for attorney's fees and provide 
an opportunity for the opposing party to file objections to 
the fees requested. 

(d) Written Exceptions, Proposed Alternative Findings, 
Conclusions and Recommendations. Each party shall submit 
written exceptions to the recommended decision of the 
Administrative Law Judge, unless the party accepts the 
recommended decision in its entirety. Any party may 
choose to submit proposed alternative findings of fact and 
conclusions of law. Exceptions and alternative findings and 
conclusions must be received by the Office of State Person- 
nel no later than 10 working days prior to the date of the 
Commission meeting for which a case is scheduled for 
review. Written exceptions must be specifically drawn. 
Exceptions shall indicate which finding, conclusion or 
recommendation is being excepted to and the basis for the 
exception being taken. Reference must be made to the 
transcript pages (and volumes, where applicable), if the 
transcript of the hearing was made. Where a party excepts 
to a finding, conclusion or recommendation and requests its 
deletion or amendment, an alternative finding, conclusion or 
recommendation shall be made. Such a document received 
after the deadline will be presented to the Commission only 
after the party has shown that the opposing party receivod 



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was served with the document at least 10 working days 
before the Commission meeting and the Commission has 
voted to receive it. The Commission shall have the author- 
ity to adopt the findings of fact and conclusions of the 
Administrative Law Judge, or to amend the same, or to 
adopt alternative findings of fact and conclusions of law, 
either from those submitted by the parties or drawn from its 
own review of the whole record. Parties shall submit \Q 
copies of each pleading (with three holes in the left margin) 
filed with the Commission . 

(e) Proposed Decision and Order. Each party to a 
contested case shall submit a proposed Decision and Order 
for consideration by the Commission in that case. The 
proposed Decision and Order must be received by the Office 
of State Personnel no later than 10 working days prior to the 
date of the Commission meeting for which a case is sched- 
uled for review. The Commission may, in its discretion, 
delay decision in a case until all parties have submitted a 
proposed Decision and Order. The proposed Decision and 
Order shall indicate which findings, conclusions and 
recommendations of the Administrative Law Judge are being 
adopted, which findings, conclusions and recommendations 
of the Administrative Law Judge are being deleted or 
amended and why, and what new findings, and conclusions 
are being adopted. The proposed Decision and Order shall 
contain a an order in the case for the signature of the 
Administrator to the Commission , consistent with and 
supported by the findings and conclusions. Parties shall 
submit 10 copies of each pleading (with three holes in the 
left margin) filed with the Commission. 

(f) Service on Opposing Parties. Copies of all documents 
required by this Rule shall be served on the opposing party, 
but no later than 10 working days prior to the date of the 
Commission meeting for which a case is scheduled for 
review. 

(g) Notification. The parties or^ when applicable, the 
legal representative of record for a party, will be notified, 
by certified mail, return receipt requested, of the Commis- 
sion's decision. The Commission's decision will be pre- 
pared and sent out by the Office of State Personnel. Copies 
or the content of a specific decision and order shall not be 
released to non-parties until the Office of State Personnel 
has knowledge that all parties have received a copy of the 
Decision and Order. 

fh) — Thi s Rule is based upon the assumption that both 
parti e s ar e repr e s e nt e d by l e gal couns e l. — If any party i s not 
repr ese nted by legal couns e l, this Rul e shall b e int e rpr e t e d 
libomlly so as not to deny a fair opportunity' to any party for 
Commission roviow of a rocommondod decision. 

Statutory Authority G.S. 126-4. 

.0438 ESTABLISHMENTT OF REASONABLE 

ATTORNEY FEES BY THE COMMISSION 

The State Personnel Commission establishes a schedule for 
the awarding of reasonable attorney fees in contested cases. 
The Commission's established rates are available upon 



request of the Administrator to the Commission. The 
Commission's established rates for the reimbursement of 
legal fees and costs are as follows: 
(1) Attorney fees incurred in connection with the 

contested case proceeding before the Commission 
and with any successful appeal of a Commission 
decision in the General Courts of Justice at a 
maximum rate of one hundred twenty-five dollars 
($125.00) per hour: 
£2} Law Clerk, Paralegal, or L^gal Assistant fees at 
a maximum rate of fifty-five dollars ($55.00) per 
hour; 

(3) Travel time at a maximum rate of one-half the 
applicable hourly attorney or legal support staff 
fee rate; 

(4) Costs at the actual cost- 
Fees will not be awarded unless requested by an attorney or 
the Petitioner and documented by an itemized, per activity, 
accounting of the hours expended, in addition to a copy of 
the fee agreement between the parties and any relevant 
receipts or other documentation of prior payment. 

Statutory Authority G.S. 126-4(11). 

.0439 CONTINUANCES 

The State Personnel Commission hereby delegates to the 
Administrator to the Commission the authority to rule upon 
the availability of a continuance in any case on the Commis- 
sion docket which does not require an extension of jurisdic- 
tion pursuant to G.S. 150B-44. TTie Administrator shall 
grant a request for continuance where the request is made at 
least five days prior to the Commission meeting at which the 
case is docketed and where good cause exists for the 
continuance request. Good cause shall include, but not be 
limited to: a court order requiring a continuance; a docu- 
mented conflict in a superior forum; death or incapacitating 
illness of a party, representative, or attorney of a party; lack 
of adequate notice of the Commission meeting; a required 
substimtion of an attorney of a party; mutual consent of the 
parties where settlement negotiations or other relevant 
matters necessitate a continuance. Requests for continuance 
shall be made in writing and directed as follows: 

Administrator, State Personnel Commission 

Office of State Personnel 

1 16 West Jones Street 

Raleigh, North Carolina 27603-8004 

Contmuance requests for good cause received within five 
days of the applicable Commission meeting or in cases 
where a G.S. 1 50B-44 jurisdictional extension is required, 
must be ruled upon by the Commission. Continuance 
requests received after the deadline for the submission of 
objections, exceptions, briefs, memoranda, or other plead- 
ings does not extend the time period for the submission of 
these documents. 



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Statutory Authority G. S. 126-4. 

SUBCHAPTER IC - PERSONNEL 
ADMINISTRATION 

SECTION .0400 - APPOINTMENT 

.0412 PERSONNEL CHANGES SUBJECT TO/ 
NOT SUBJECT TO A PROBATIONARY 
PERIOD 

A probationary period shall not be required when any of 
the following changes are made: 

(1) Promotion of an employee who has a permanent 
or time-limited permanent appointment; 

(2) Transfer of an employee who has a permanent or 
time-limited permanent appointment; 

(3) Demotion of an employee who has a permanent or 
time-limited permanent appointment; 

(4) Reinstatement after leave of abo e no e . without pay ; 

(5) The return of a policy-making/confidential exempt 
employee to a nonpolicv-making position. 

Personnel Changes may be subject to a probationary period. 
An employee with reduction in force priority consideration 
may be required to serve a new probationary period as 
outlined in 25 NCAC ID .0510 (Priority Reemployment 
Consideration). 

Statutory Authority G.S. 126-4. 

SUBCHAPTER ID - COMPENSATION 

SECTION .0500 - SEPARATION 

.0520 APPOINTMENT ENDED 

An "A ppointment Ended" separation occurs when an 
exempt or policy-making/confidential exempt employee's 
a ppointment ends or when separated for reasons other than 
cause. These separations may occur whenever the Agency 
Head or the Governor determines that the services of the 
employee are not longer needed. 

Statutory Authority G. S. 126-5. 

SECTION .2300 - ACCELERATED PAY PLAN 

.2301 POLICY 

(q) It is th e policy of the Stat e to maintain on Aoo e l e rat e d 
Pay Plan for omployoos at the lo' i^ 'ost pay rato s in con s ider 
ation of the labor market and economic indicators aa woU as 
asDuring th e advanc e m e nt and ret e ntion of a fully comp e t e nt 
work forc e . TTi e Stat e P e rsonn e l Commission shall id e ntify' 
which pay rates are to bo subject to tho Accoioratod Pay 
Plan and amend tho Plan as nocoaaary. based on the labor 
mark e t and economic indioator o . Upward mov e m e nt within 
the Accoioratod Pay Plan shall r e quir e that th e job p e rfor 
manco of an omployoo moot porformonco oxpcctationa. 
Employoofl participating in tho Plan may not rocoivo an 



additional performance pay incroaao. 

(b) Impl e m e ntation of this Plan is subj e ct to th e availabil 
ity of funds in on appropriat e salary r e s e rv e fund. 

Statutory Authority S.L.1990, c.1066, s.37. 

.2302 ELIGIBILITY FOR THE PLAN 

(ft) — Employoos assigned to a claaaifioation in pay grades 
50, 51, 52, or 53 whoao salaries fall at a rato within tho 
Accoioratod Pay Plan ar e e ligibl e . 

(b) Employ ee a must hav e a curr e nt work plan in plac e at 
loaat 30 days after entering tho job. 

Statutory Authority S.L. 1990, c. 1066, s. 37. 

.2303 ELIGIBILITY FOR ACCELERATED 
PAY INCREASES 

(a) Employooo having probationar>' or perman e nt full tim e 
or part tim e — (half tim e — or mor e ) — appointm e nta — whos e 
pwrformanco moots or oxcooda roquiromonta are eligible for 
accoioratod pay incrooaoa. 

fb) — Employ e ea e ligibl e to mov e to th e minimum of tho 
rang e aft e r compl e ting thr ee months of o e r . 'io e . — Aft e r thr e e 
months at tho minimum (or above, if tho omployoo ia hired 
above tho minimum), tho omployoo is oligiblo for an 
aooelerat e d pay incr e as e , th e amount to b e d e t e rmin e d by 
th e Offic e of Stat e P e rsonn e l baa e d on availabl e funds. 
Thoroaftor. tho omployoo is oligiblo for on accoioratod pay 
incroaao every six montha up to tho maximum rato dosig 
nat e d by th o accoioratod pay plan sch e dul e . — Th e e mploy ee 's 
appointm e nt may b e chang e d from probationary to porma 
nont at tho time of tho solar)' incroaao or it may bo changod 
later as a separate action. 

f&) — If an e mploy ee compl e t e s th e r e quir e d months of 
se rvic e but doe s — m e et — p e rforma nce — e xp e ctations, — the 
omployoo' s s alar)' cannot bo increased. Onco tho omployoo 
has again completed tho required length of sor . 'ioo (throo or 
six months, which e v e r is applicabl e ), th e e mploy ee is 
r e vi e w e d once more and grant e d th e incr e as e if p e rformanc e 
expectations are mot. 

Statutory Authority S.L. 1990, c. 1066, s. 37. 

.2304 ADMINISTRATION 

(a) — Now hiroa normally shall bo employed at tho hiring 
rot e of th e applicabl e grad e or at tho Sp e cial Entr>' Rate if 
on e e xists. — N e w e mploy ee s with mor e e xp e ri e nc e than th e 
required minimum may s tart at a higher rate in the Plan. 

fH — Supervi s ors must roviow each omployoo's porfor 
mano e at th e e nd of e ach tim e p e riod (thr ee or six months, 
whichever i s applicabl e ) to d e t e rmin e if th e e mploy ee m ee ts 
expectations. Tho Suf>or i 'i9or must record tho rating on tho 
agency's Accolomt e d Pay Plan Performance Reviosv Form. 
The employee. s up e P i 'isor and th e sup e p i 'isor's manag e r 
must sign and dat e th e form e ach tim e a r e vi e w occur s . 

fe) — Following tho proscribod timeframes of the Plan. 
omploycos may progress to tho highest pay rate for tho 



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appropriato grade in tho Plan. 

{4) — Ono e an omployoo hao r e ach e d — th e high es t rat e 
provided by th e Plan in th e ir grad e , th e e mployee'o e ligibil 
ity for future porformonco aalary incroaso s hall be dotor 
mined in accordonco svith the Performance Management 
Syotom and P e rformono e Inor e aoe Polioi e s. — A work plan 
muot b e in plac e at least six montho aft e r th e high e st rat e is 
awarded. 

(^ — If on employee ia demoted or reallocated down to a 
grad e and oalar)' mte within the Plan, th e e mployee becomes 
eligibl e to participat e in accelerat e d pay incr e as e s on th e 
same basis as other employees in tho Plan. 

ff) — If on employee is promoted or reallocated up to a 
grade above those includ e d in the Plan, th e e mploy ee is 
eligibl e for p e rformance incr e as e s in accordanc e with th e 
Performance Management System and Performance Increase 
Policies. — Employees must work in the new job with a 
current work plan for at l e ast six months aft e r r e o e iving on 
aooolomt e d p>ay Lnoroaso b e fore th e y ar e e ligibl e for anoth e r 
performance increase. 

Statutory Authority S.L. 1990, c. 1066, s. 37. 



her 1 , 1995 at the Office of Administrative Hearings, 
Hearing Room §2, 422 North Blount Street, Raleigh, NC. 

Reason for Proposed Action: To repeal existing rules and 
adopt new rules that establish the procedrues for submitting 
rules and documents for publication in the North Carolina 
Register and the North Carolina Administrative Code. 
Changes are necessitated by the changes to the Administra- 
tive Procedure Act, amended by the 1995 Regular Session of 
the General Assembly. 

Comment Procedures: Any interested person may comment 
either orally at the public hearing or submit written com- 
ments addressed to: Anna Baird, Rule-making Coordinator, 
PO Drawer 27447, Raleigh, NC 27611-7447. All written 
comments must be received by 5:30pm on December 15, 
1995. 

Fiscal Note: These Rules do not affect the expenditures or 
revenues of local government funds. 

CHAPTER 2 - RULES DIVISION 



.2305 DOCUMENTATION 

fa) — Personnel Action Forms PD 105 must be submitted 
for employ ee s r e o e iving accel e rat e d pay incr e ao e o. — Th e typ e 
of action will b e "Acc e l e rat e d Pay Increase" or "Aco Pay 
Inc. " 

fb) — Tho agency head' s (or designee's) s ignature on the 
PD 105 shall s e n' e as e vid e nc e that th e e mploy ee is e ligibl e 
and has achi e v e d th e r e quir e d p e rformanc e rating. 

(c) Increases may be effective th e First of the pay period 
following completion of the minimum time required for tho 
mcr e as e . 

Statutory Authority S.L. 1990, c. 1066, s. 37. 



SUBCHAPTER 2A - NCAC 
SECTION .0100 - PUBLICATION 

.0101 PUBLICATION OF THE NCAC 

(a^ — Administrative rul e s adopt e d by stat e agencies and 
occupational licensing boards pursuant to General Statute 
Chapter 150B shall be filed with tho Office of Administra 
tiv e H e arings to b e publish e d in th e North Carolina Admin 
istrative Cod e . 

ffe) — Filings for rules and rule changes shall be filed in 
proper physical form in accordance with tho rules in this 
Subchapter. 



TITLE 26 - OFFICE OF ADMINISTRATIVE 
HEARINGS 

Notice is hereby given in accordance with G.S. 
150B-21.2 that the Office of Administrative Hearings 
intends to repeal rides cited as 26 NCAC 2A ,0101-.0102, 
.0201-. 0212, .0301. .0303. .0401-.0406. .0501-.0507; 2B 
.0101, .0103-.0I04, .0201-.0204, .0301-.0303. .0401; and 
adopt rules cited as 26 NCAC 2C .0I01-.0109, .0201 -.0206, 
.0301 -.0305. .0401:0409. and .0501-.0503. 

Temporary: These Rules were filed as a temporary rules 
effective November 1 . 1995 for a period of 180 days or 
until the permanent rule becomes effective, whichever is 
sooner. 

Proposed Effective Date: February 1, 1996. 

A Public Hearing will be conducted at 10:00am on Decem- 



Statutory Authority G.S. 150B-21.18; 150B-21.19. 

.0102 AVAILABILITY OF THE NCAC 

(a) Tli e Office of Administrativ e H e arings has availabl e 
for public inspection all past and current rules filod under 
tho provi s ions of G.S. 150B. Copies are available at a cost 
as e stablished in 26 NCAC I .0103. 

(b) Pur s uant to G.S. 150B 21.1 8 . th e Codifi e r of Rul e s 
licensed the indexing, marketing, sales, reproduction, and 
distribution — for subscription — services — to the NCAC — te 
Barclay s Law Publishers, PO Box 3066. 400 Oyst e r Point 
Boul e vard. South Son Francisco, California 910 8 0, tolo 
phono I 800 8 8 8 3600. 

Statutory Authority G.S. 1508-21.18; 150B-21.25. 

SECTION .0200 - GENERAL FILING 
REQUIREMENTS 

.0201 ADOPTION OF RULES 



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(a) M adoption ia a oomplotoly now rulo with a nov i ' rule 
numb e r. 



tmtivo Hearing a on a Transfor and Recodification form and 
aooomponiod by a Tabl e of Cont e nto s e tting out the oatohlin e 



(b) In order to b e aoooptablo for filing with th e Offic e of and numb e r of each rul e for each Section aff e ct e d by the 

transfor. 
(b) An agency may roquo a t that ono or moro of its rules 



Adminiatrativo Hearings, each adopted rulo shall bo accom 
paniod by a completed t>'pod Submission for Filing form. 
(c) Th e original and ono copy of th e rul e ao adopted ohall b e r e codifi e d pursuant to G.S. 150B 31.20. — Th e ag e ncy 



bo filed in th e Office of Adminiotrativo Hoaringo. — The 
original shall be in the proper form required by Rule .0 4 02 
of this Subchapter. 

(d) — If th e adopted rulo diff e rs in any way from th e 
propos e d rul e publioh e d in th e North Carolina Regist e r, th e 
original shall identify' changes by striking through dolotod 
portions and underlining added portiona. 

fe) — If publication of th e proposed rul e in th e North 
Carolina Register was not r e quir e d, th e filing ahall b e 
accomplished as set out in Paragraphs (a), (b) and (c) of this 
R«k>r 



shall submit to th e Offic e of Administrativ e H e arings a letter 
containing the rule citations and reasons for the recodifica 
tion accompanied by a copy of the existing rulo(3) and an 
original of th e rul e (s) as it should app e ar aft e r r e codifica 
tion. — Th e r e codification i s e ff e ctiv e upon approval by the 
Codifier of Rules. 



Statutory Authority 
150B-21.20. 



G.S. 150B-21.7; 150B-21.19; 



Statutory Authority G.S. 150B-21.19. 

.0202 AMENDMENTS TO RULES 

(a) Deletion, addition or chang e to an e xisting rul e is an 
amendment to the rul e . 

(b) In order to bo acceptable for filing with tho Office of 
Administrative Hearings. — eaeh — amended — rule shall bo 
accompanied by a compl e t e d typ e d Submission for Filing 
form. 

(o) TTio original and one copy of tho rulo as amended 
shall bo filed with tho Office of Administrative Hearings. 

Tho original shall be in prop e r form a s r e quired by Rul e Statutory Authority G.S. 150B-21.19. 
.0103 of this Subchapt e r. 

fd) — If the amended rule has text added or deleted that 



.0205 SUBMISSION FOR FILENG FORM 

(a) Each adopt e d or am e nd e d rul e must b e accompani e d 
by a compl e t e d typ e d Submission for Filing form certifying 
that tho rulo being filed has boon officially adopted or 
amended. 

(b) R e p e al e d rules may b e combin e d on a s ingl e Submis 
sion for Filing form if th e rul e s ar e contain e d in th e same 
Chapter and tho repeal effective date is the some. 

(c) All Submission for Filing forms shall be signed by tho 
ag e ncy head, a subordinat e offic e r or e mployee designated 
by th e ag e ncy h e ad in writing und e r G.S. 1136 10(a), or a 
rule making coordinator for the agency. 



differs from tho proposed rulo published in tho North 
Carolina Regist e r, those chang e s shall b e highlight e d on th e 
copy of tho original. 

Statutory Authority G.S. 150B-21.19. 

.0203 REPEAL OF RULES 

(a) A rop>oal of a rule i s tho deletion of tho ontiro text of 
a rule. When a rulo is repealed, that rulo number cannot bo 
uood again. — Th e numb e r, oatohlin e , and final histor>' not e 
will r e main in th e North Carolina Administrativ e Cod e 
permanently for publication and roforonco purposes. 

(b) In order to be acceptable for filing with tho Office of 



.0206 CHANGES IN CATCHLINES OR HISTORY 
NOTES 

R e qu e st for chang e s in oatohlin e s or history not e s can be 
mad e by m e mo to th e Offic e of Admini s trativ e H e aring s . 
This memo must clearly identify' tho changes including a full 
citation. 

Statutory Authority G.S. 150B-21.19; 1508-21. 20. 

.0207 RULE SUMMARIES 

For distribution and publication purpos e s, th e Codifi e r of 
Rul e s has statutory authority to summarize rules which ho 
judges would bo improoticablo to distribute or to publish in 
faH-. An agency with rules which it boliovos would bo 



Administrativ e H e arings, a r e p e al e d rul e shall b e aocompa impracticabl e to distribut e or publi s h may request that th e 



ni e d by a compl e t e d typ e d Submi ss ion for Filing form. 
fe) — Tho original and ono copy of a statement of repeal 



Codifi e r of Rul es e xamin e such rul e s. — If h e d e t e rmin e s -that 
tho submitted rules are inappropriate for distribution or 



shall bo filed with tho Office of Administrative Hearings. publication, ho may reque s t tho agency to draft a s ummary 



Th e original shall b e in prop e r form as r e quir e d by Rul e 
■0102 of this Subchapt e r. 

Statutory Authority G.S. 150B-21.19. 

.0204 CONTINUATION/RECODIFICATION 

(«) — A notification for continuation of rules pursuant to 
G.S. 150B 21.7 shall bo submitted to the Office of Adminis 



fttl^: — Th e full rul e or rul e s must bo filed and th e summary 
publish e d in th e North Carolina Administrativ e Cod e in 
accordance with statutor)' roquiromonts. 



Statutory Authority 
1508-21.20. 



G.S. 1508-21. 17(b); 1508-21.18: 



.0208 ILLUSTRATIONS/NOTES 



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An agoncy may include mntorial which is not a aubatantivo 
portion of tho rul e but is an illustration of oom e thing in th e 
rul e . — The material which io m e ant only ao on illustration 
must bo sot aaido by proooding it with tho word "Note:". 
This should bo done after tho text of tho rule. — Tho agency 
is adviood to make sur e it hao not includ e d any substantiv e 
f>ortion of th e rul e ao an illustration in this manner. Illustra 
tions are merely examples or clarificationa which, when not 
road, do not change the meaning of the rule. 



Statutory Authority 
150B-2]'.20. 



G.S. 150B-21.18; 150B-21.19: 



.0209 REFUSAL OF RULES 

(a) Th e Offic e of Administrativ e H e arings will r e fus e to 
accept for filing any adopted, amended or repealed rules 
which do not moot the requirements of this Subchapter. 

(b) If th e filing io not acc e ptabl e , it will b e return e d to th e 
ag e ncy with an indication of th e ohongoo needed. 

Statutory Authority G.S. 150B-21.19. 

.0210 ACCEPTANCE OF RULES FILED 

(a) \^^en on action is accepted for filing by the Office of 
Administrative Hearings, tho agency will bo sent a com 
plet e d copy of th e Submission for Filing form which 
indicat e s that th e action i s acc e ptable for filing. 

fb) — When the rule has boon printed by the Office of 
Administrative Hearings, the agency head, a subordinate 
offic e r or e mploy ee d e signat e d by th e ag e ncy h e ad in 
writing und e r G.S. MSB 10(a), or th e rul e making coordi 
nator will receive ono copy of the document at no charge. 

Statutory Authority G.S. 150B-21.19; 150B-21.24. 

.0211 AGENCY FINAL COPY 

Within 30 days of the date ap[)earing on the final computer 
copy, on ag e ncy shall notif)' th e Offic e of Administrative 
H e arings of any typographical e rrors mad e by O^VH in 
entering tho rule into the NCAC. — Any typographical errors 
found by tho agency after the 30 day s shall bo corrected by 
an am e ndm e nt pursuant to G.S. 150B 21.5. 

Statutory Authority G.S. 150B-21.5. 

.0212 MAILING LIST 

OAH will distribut e information of a g e n e ral — natur e 
concerning — f=«lo — filings — and — related — matters — te — tbe 
rule making coordinator( s ) de s ignated in writing by each 
ag e ncy h e ad. — It is th e r e sponsibility' of e ach agoncy to k ee p 
ouch designations curr e nt with OAH. 

Statutory Authority G.S. 150B-21. 

SECTION .0300 - TEMPORARY RULEMAKING 

.0301 FILING TEMPORARY RULES: 



ADOPTIONS: AMENDMENTS: REPEALS 

In ord e r to b e acceptabl e for filing with th e Office of 
Administrativ e — H e arings. — eaeh — t e mporary — adopt e d — ef 
amended rule shall bo accompanied by a completed typod 
Temporary Rule Certification fof H»: — Temporary' repealed 
rul e s may b e combin e d on a single T e mporar)' Rule Certifi 
cation form if th e rul e s ar e contain e d in tho sam e chapter 
and the repeal effective date is tho same. — Tho filing shall 
include tho proper copie s required by Rules .0201. .0202, 
or .0203 of this Subchapt e r, a notic e form and filing that 
oomplieo with tho r e quirem e nts of 26 NCAC 2B for publioa 
tion in the North Carolina Register. — Tho completed Temp>o 
vary Rul e Certification form shall contain tho agency's 
writt e n stat e m e nt of its findings of n ee d for th e t e mporar)' 

Statutory Authority G.S. 150B-2L1: 150B-21.19. 

.0303 PROCEDURE FOR REVIEW OF 
TEMPORARY RULES 

The Codifier of Rules shall review temporary rules as 
provid e d by G.S. 150B 21.1. 

Statutory Authority G.S. 150B-21.1. 

SECTION .0400 - PHYSICAL FOR^UT 

.0401 GENERAL TYPING INSTRUCTIONS 

(a) Tho general typing instructions arc as follows: 

(4^ an 8 1/2 by 1 1 inch sheet of pap e r (no l e tt e r 

h e ad, carbon copi e s or onion skin acc e pt e d); 

(2) one side of the sheet only, with a one inch 

margin on all side s ; and 

(3-) black ink; us e no l e ss than 10 and no larg e r than 

12 point type only. 

(b) Tho shoot may not be turned around in the t)'pcwriter 
to accommodate wide charts. 

Statutory Authority G.S. 150B-21.19. 

.0402 ORIGINAL COPY OF RULES 

All rul e s fil e d mu s t b e accompani e d by on original copy 
of th e rul e . 

fH Adoptions and Amendment s : 

{tt) The original copy s hall contain on introductory 

s ontonc o — as sp e cifi e d in Rule .0403 of this 
S e ction. 

fb) The rule shall be in the format proscribed in 

Section .0500 of this Subchapter with the follow 
ing additional r e quir e m e nts: 

{+) any text to b e d e l e t e d from an e xisting rul e 

shall be indicated by slash through marks; and 

(«^ any new or added text shall be underlined. 

fe^ Each rul e shall b e follow e d by a histor)' not e 

which contains th e Statutory' Authority', e ff e ctiv e 
dato. — and any previous history reforoncos — i# 
applicable. 



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(3) Ropoals: 

(ft) The origina! oopy ohall oontain an introductory 

s e nt e nc e — as opooifi e d — in Rul e — .0103 of this 
Soction. 

(fe) Ropoalod rules will contain tho rulo number and 

rule nam e , follow e d by th e compl e t e hislor)' 
not e noting th e repealed e ff e ctiv e dat e . — No t e xt 
is shown on tho original copy of a ropcxilod rulo. 

(e^ Repealed rules shall bo combinod with a single 

hiotor)' not e if th e rul e s ar e cono e outiv e num e ri 
oally and th e e ff e ctiv e dat e s and r e p e al e d dat e s 
are identical. — Authority citos and any othor 
dates are to bo combinod. 

Statutory Authority G.S. 1508-21. 19. 

.0403 INTRODUCTORY STATEMENT 

(a) — Each rulo submitt e d to th e Offic e of Administrativ e 
Hearings for filing shall hav e an introduotor)' stat e m e nt 
immediately preceding tho rulo. Thi s introductory statement 
must contain tho full official rulo citation and tho action 
being tok e n. 

fb) — If notic e of th e proposed rul e was publish e d in th e 
North Carolina Register, tho introductory statement shall 
include the volume, issue and page or pages of the notice 
publication. 

fe) — If th e adopt e d or am e nd e d rul e differs in any way 
from the proposed rule published in tho North Carolina 
Rogiater, the introductory' statement shall include tho words 

fd) — If notic e of th e proposed rul e was not r e quir e d for 
publication in the North Carolina Register, tho introductor)' 
statement must include a citntion to law exempting the rule 
from notic e - 



adoption); 
(3) th e e ff e ctiv e dat e of the four most r e c e nt amend 

m e nto to that rul e or r e p e aled lin e , v/hioh e v e r is 

applicablo: and 
f4) any other histor>' reforonoos pertaining to tho 

(b) Th e history' note shall be t^'p e d aft e r the text or after 
any illuatrationa in tho rule slcipping one line and t^'ping the 
words "History Note:" indented two spaces from the left 
margin or on th e third spac e followed by th e words: 

f+) "Statutor>' Authority'" in a rul e where th e author 

it)' is strictly statutory', or "Authority" in a rulo 
where the authority is othor than statutory. — This 
would th e n b e follow e d by th e prop e rly cit e d 
G e neral Statut e or authority. 

(3) On the next lino, blocked under the letter "S" in 

"Statutory", tho abbreviation "Eff. " would bo 
follow e d by th e original e ff e ctive date of the 
rul e in full. 

(5) On the next lino all amendment dates to the 

original rule shall bo listed following the words 
"Am e nd e d Eff.". — Tho four most reo e nt am e nd 
ment dates shall b e giv e n in chronological ord e r, 
with the most recent amendment listed first. 
All items in the history' note are separated by semicolons. 
fe) — Authoriti e s cit e d in histor)' not e s shall bo cit e d 
according to th e most current e dition of th e rul e s of citation 
contained in "A Uniform System of Citation", a copy of 
which is available in the Office of Administrative Hearings. 
e xc e pt that th e G e n e ral Statut e s of North Carolina shall b e 
id e ntifi e d by th e d e signation "G.S." rather than "N.C. G e n. 
Stat.". 

Statutory Authority G.S. 150B-21.19. 



Statutory Authority G.S. 1508-21. 5: 1508-21.19. 

.0404 BODY OF RULES 

(a) Th e rul e numb e r, rul e nam e and body of th e rul e shall 
immediately follow the introductory s tatement for that rulo. 
Generally, there will be no lines skipped in the body of the 
rul e e xc e pt in unusual circumstano e e. such as tabl e s. — AH 
paragraphs should b e indent e d two spac e s or to th e third 
space from the loft margin. 

fb) — All subsections and lists within the rule must be 
cl e arly labeled v . 'ith th e correct numb e r or l e tt e r in par e nth e 
SOS as sp e cified in Rules .0506 and .0507 of this Subohap 
tefr 

Statutory Authority G.S. 1508-21.19. 

.0405 HISTORY NOTE 

(ft) — Each rule submitted to tho Office of Administrative 
H e arings for filing shall hav e a histor)' not e containing th e 
following information: 

(4^ the authority for that rulo; 

(3) the effective date of the rule, (last lino if on 



.0406 HISTORY NOTE: TEMPORARY ADOPTIONS: 
AMENDMENTS: REPEALS 

(a) A t e mporary adoption will hav e a hiator)' note which 
startfl with th e following stat e ment: — "Filed ao a T e mporary 
Rule Eff. (date), for a Period of (length) Day s to Expir e on 
(date)". — The next line would then contain the citation of 
authority. 

(b) A t e mporary am e ndment is plac e d on th e first lin e of 
tho history' note regardless of any prior history. — The history' 
note shall retain prior effective and amendment date s if 
applicabl e . Th e following wording shall b e us e d: — "Fil e d as 
a T e mporary' Am e ndm e nt Eff. (date). — for a P e riod of 
(length) Days to Expire on (date)". 

(e) — A temporary repeal is placed on the first lino of the 
histor)' not e , r e gardl e ss of any prior history' . — Th e histor)' 
not e shall r e tain prior e ff e ctiv e and am e ndm e nt dat es if 
applicable. — The following wording shall be used: — "Filed as 
a Temporary Repeal Eff. (date), for a Period of (length) 
Days to Expir e on (date)". 

Statutory Authority G.S. 1508-21.19. 



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SECTION .0500 - CODIFICATION OF RULES 

.0501 CODIFICATION SYSTEM 

(q) ;\]1 ruloa to bo filed with the Offioo of Admirustrativo 
Hoaringa shall bo codifiod within tho systom doscribcd in 
thio Sootion. 

fb^ — Th e North Carolina Administrativ e Cod e has four 
major subdivisions of ruloo. — Two of thoso, titles and 
chaptors, are mandator)'. — Tho major subdivision of tho 
North Carolina Adminiotmtivo Cod e is th e titlo. Eaoh major 
dopartmont in th e North Carolina e x e outivo branch of 
govommont has boon assigned a titlo number. — Titles are 
further broken dov i Ti into chaptors which shall bo numerical 
in ord e r. — The oth e r two, subchapt e rs and o e otiona ar e 
optional subdivioiono to be us e d by ag e nci e s when appropri 

(c) ;\11 rules whon filed with tho Office of Administrative 
H e arings shall bo assign e d a titlo, chapt e r, and a rul e 
numb e r. — Tho ag e ncy may also assign e ith e r or both a 
subchapter designation and soction number to the rule. 

(d) The official citation to tho North Carolina Administra 
tive Cod e id e ntifies th e mat e rial cit e d by titl o , chapter, or 
subchapter (if any), and section or rul e numb e r. 

Statutory Authority G.S. 150B-21.19. 

.0502 CHAPTER SUBDIVISION 

TTio chapter is the second largest subdivision of tho North 
Carolina Administrative Code. — Each major dopartmont shall 
b e responsible for assigning chapt e r numbers within its titlo. 



99 sections within any chapter or subchapter. — It is rocom 
m e nd e d, how e ver, that th e numb e r of sootions within a 
chapt e r or subchapt e r b e kept well b e low th e nmxim Hffi4B 
order to provide easily for the addition of now sections in 
the future and to increase tho ease with which particular 
rul e s can b e located. 

Statutory Authority G.S. 150B-21.19. 

.0505 RULE 

Th e rul e is repr e s e nt e d by tho s e cond U^'o digits of the 
four numbers following a decimal. Rulos shall bo numbered 
consecutively. — The last two digits of tho first rulo will bo 

Statutory Authority G.S. 150B-21.19. 

.0506 SUBSECTIONS OF RULES 

fft^ — A rul e containing mor e than one separat e id e a may 
need to bo subdivided. — Tho codification system within the 
North Carolina Administrative Codo allows for a rulo to bo 
subdivid e d fiv e times ao follows: (a), (Ij), (o); (1), (2). (3); 
(A), (B), (C); (i), (ii), (iii); (\), gi). (111). All oubooctiono 
of rules shall bo represented by this order, and each label 
shall be in parentheses. 
(b) Points to r e member wh e n subdividing a rul e are: 

fi^ Wh e n subdividing a rule always subdivid e th e 

entire rulo into Paragraphs. 

(33 Never subdivide a rule too far as it may ma ke 

th e rul e hard to understand. 



Statutory Authority G.S. 150B-21.19. 

.0503 SUBCHAPTER SUBDIVISION 

(a) Th e subchapter is th e larg e st of th e optional subdivi 
sions and shall bo usod to divide chaptors into broad subject 
areas, small agencies, s ections of a division, etc., when an 
ag e ncy finds it appropriat e . Wh e n subdividing a chapt e r into 
subchapt e rs, an agency shall subdivid e th e e ntir e chapt e r 
into at least tv i 'o subchapters as with any subdivision. 

(b) All subchapt e rs of tho North Carolina Administrative 
Cod e are r e pr e s e nt e d by cons e cutiv e capital l e tt e rs follov . 'ing 
th e chapt e r numb e r. 



Statutory Authority G.S. 150B-21.19. 

.0507 LISTING WITHIN RULES 

Wh e n a rul e is not subdivid e d but contains a list, tho 
sequence of labels for the lists is: (1), (2). (3): (a), (b), (c); 
(i), (ii), (iii): (A), (B), (C): (1). (ID, aU). If there is a list 
within a subdivision, the rul e shall follow th e s e qu e nce in 
Rule .0506(a) of this S e ction. — If th e rul e is not subdivided, 
but contains an item or a list which is subdivided, tho 
sequence in this Rule is followed. — In no event V r ill a rulo 
b e gin with a list. A list contain e d within a rul e must always 
b e pr e c e ded by som e form of introductory' mat e rial. 



Statutory Authority G.S. 150B-21.19. 



Statutor\ Authority G.S. 150B-21.19. 



.0504 SECTION SUBDIVISION 

(a) Tho section is tho smaller of tho optional subdivisions 
and the smallest subdivision which contains rules. — It shall 
b e us e d by th e ag e ncy to place tog e th e r small groups of 
rul e s in th e sam e subj e ct area. — TTioso small groups of rul e s 
shall be within chaptors or subchapters depending upon 
whether tho first optional s ubdivision is usod. 

(b) i\ll s e ctions ar e r e pr e sented as th e first two digits of 
a four digit numb e r following a d e cimal. — Th e y shall be 
consecutive starting with Section .0100. 

(c) Because the two digits are set aside, there is a limit of 



SUBCHAPTER 2B - NORTH CAROLINA REGISTER 



SECTION .0100 - PUBLICATION 



.0101 



PUBLICATION OF THE NORTH CAROLINA 
REGISTER 

{ft) — Proposed administrative rules of state agencies and 
occupational licensing boards, and executiv e ord e rs shall 
pursuant to General Statut e Chapter 150B b e submitted to 
tho Offico of Administrative Hearing s to bo published in tho 
North Carolina Register. 



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($120.00) plu s N.C. salog tax if applicable per year sub 
aoription. 

(b) — A five poroont diooount shall bo appli e d to th e total 
s ubscription price whon ordering multipl e oopios. 

ffr) — Reque s t s for subscriptions shall be directed to the 
Offic e of Adminiotrativo H e arings, P.O. Draw e r 27117, 
Raleigh. N.C. 27611 7117, (919) 733 367 8 . 



(b) — Submissions for publication s hall be filed in proper 
physical form in aooordnno e with the rul e s in this Subohap 

Statutory Authority G.S. 150B-21.17. 

.0103 SUBMISSION AND PUBLICATION 
SCHEDULE 

(a) In order to bo acceptable for publication, submissions Statutory Authority G.S. 1508-21. 25. 
for propos e d administrativ e rul e s and e x e cutiv e orders shall 
bo submitted to th e Offic e of Administrativ e H e arings by th e 
closing date for tho issue as detorminod undor Paragraph (c) 
of this Rule. 

(fe) — An agency may file submissions by facsimil e (fax) 
tranomisoion by 5:30 p.m. on th e closing dat e for th e issu e 



SECTION .0200 - GENERAL FILING 
REQUIREMENTS 

.0201 PUBLICATION OF PROPOSED RULES 

(a) In ord e r to b e acceptabl e for publication by th e Offioo 



as dotorminod under Paragraph (c) of this Rule. — In order to of Administrative Hearings, all notices required to bo 



bo acceptable for publication, the original submission must 
b e r e c e ived by th e Offic e of Administrative H e arings within 
fiv e buoin e so days following th e fax e d transmission. 

(c) Tho North Carolina Register will be published on the 
first and fifteenth of each month if the first or fifteenth of 
th e month io not a Saturday. Sunday or State holiday for 
employ ee s mandat e d by th e Stat e P e rsonn e l Commission. 

If tho first or fifteenth of any month is a Saturday, Sunday Statutory Authority G.S. 150B-21.17. 
or a holiday for State omployeos, — tho North Carolina 
Regist e r issu e for that day will be published on th e day of 



published in tho North Carolina Register, pursuant to G.S. 
150B 21.2, shall b e accompanied by a compl e t e d typed 
notic e form. 

(b) The original and one copy of the text of tho rule as 
proposed shall bo submitted to tho Office of Administrative 
H e arings. 



that month clos e st to ( e ith e r b e for e or after) the first or 

fifteenth respectively that is not a Saturday. Sunday or 

holiday for State omployeos. Tho last day for filing for any 

issue of th e North Carolina R e gist e r is 15 days b e for e th e 

issu e dat e e xcluding Saturdays, Sundays and holidays for 

State employoos, oxcopt that tho la s t date for electronic 

filing is ten days before the issue date excluding Saturdays, 

Sundays and holidays for Stat e e mploy ee s. — In computing 

th e tim e pr e scrib e d or allowed by this Rul e , th e day of 

publication of the North Carolina Register is not to be 

included. — Tho last day of the period s o computed is to bo 

includ e d, unl e ss it is a Saturday, Sunday or State holiday, 

in which event th e p e riod run s until th e pr e c e ding day which 

is not a Saturday, Sunday or State holiday. — A half holiday 

shall be considered as other days and not as a holiday. — A 

tabl e of publication d e adlin e s and sch e dul e s to includ e th e 

issue dat e , last day for filing, last day for e l e ctronic filing, 

earliest date for public hearing, last day of required com 

ment period, and earliest effective date for at least the next When a submission is accepted for publication by tho 



.0202 NOTICE FORMS 

(a) Ba se d upon th e type of notic e as requir e d in G.S. 
150B 21.2, tho agency shall complete one of tho following 
appropriate notice forms: 

{\) Notic e of Text and H e aring; 

(3^ Notic e of T e xt; or 

^ Notice on Subject Matter. 

(b) A completed notice form certifie s that tho statement 
of th e subj e ct matt e r or tho text of th e rul e as proposed has 
boon officially authorized by th e ag e ncy for publication in 
the North Carolina Register. 

(c) More than one rule may be listed on a single form if 
th e rul e s ar e promulgat e d by th e sam e agonoy and tho 
pro|X)sed effectiv e dat e s and th e public h e aring dat e s ar e tho 
same. 



Statutory Authority G.S. 150B-21.17. 

.0203 ACCEPTANCE FOR PUBLICATION 



12 issu e s will b e publish e d in e ach issu e of th e North 
Carolina R e gist e r. — This is pubhshed as a public service and 
tho computation of time periods aro not to bo deemed 
binding or controlling. 

Statutory Authority G.S. 1508-21.17. 

.0104 AVAILABILITY OF THE NORTH CAROLINA 
REGISTER 

<*) — Th e North Carolina R e gist e r is publish e d tv ^ 'ic e 
monthly by tho Office of Administrative Hearings and i s 
available at a cost of one hundred and twenty dollars 



Offic e of Administrativ e H e arings, th e ag e ncy will bo sent 
a compl e t e d copy of th e notice form which indicates that the 
submission is acooptablo for publication. 

Statutory Authority G.S. 1508-21.17. 

.0204 REFUSAL OF PUBLICATION 

(a) Tho Office of Administrative Hearings will refuso to 
acc e pt for publication any notic e form which does not moot 
th e r e quir e m e nts of this Subchapt e r. 

(b) If the submission for notice is not acceptable, it will be 
returned to the agency with on indication of tho changes 



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PROPOSED RULES 



nccdod. 

Statutory Authority G.S. 150B-21.17. 

SECTION .0300 - PHYSICAL FORMAT 

.0301 GENERAL TYPING INSTRUCTIONS 

jMl noticoa roquirod to bo published in the North Carolina 
Rogistor pursuant to G.S. 150B 21.2 shall bo submitted in 
tho form opooifiod in 26 NCAC 2A .OIOI. 

Statutory Authority G.S. 150B-21.17. 

.0302 ORIGINAL COPY OF PROPOSED RULES 

(a) Tho original copy of a rulo ao propoood to b e adopt e d 
or amondod by tho agency shall moot tho following require 
monts: 

(4^ Tho original shall contain an introductory stat e 

mont immodiat e ly prec e ding tho rul e . The 

statement must contain tho full official rul e 
citation and tho action being taken. 

(3) Following tho introductory stat e m e nt, th e body 

of tho rul e shall b e in tho form sp e cifi e d in 26 
NCAC 2A .0101 and as follows: 
(A) — any toxt to be deleted from an existing rule 
shall bo indicated by slosh through marks; and 
fB^ — any n e w or add e d t e xt shall bo und e rlin e d. 

0^ Tho specific authority shall be cited following 

the body of each rulo. 

f4^ Upon written requ e st and with writt e n approval 

from the Codifi e r in accordanc e — with G.S. 
150B 21. 17(1)). an agoncy may cite tho minim tnH 
portion of the rule which is changed. Portions 
publish e d shall give ad e quat e — notice of th e 
change(s) to the rul e . 

(b) Tho original copy of a rule as proposed to bo repealed 
by the agoncy shall moot the following requirements: 

(49 Tho original shall contain an introductory' stat e 

mont immediately pr e c e ding th e rul e . The 

statement must contain the full official rul e 
citation and tho action being taken. 

(3) Following tho introduotor>' stat e m e nt tho original 

shall contain a list of th e rul e numbor(s) and rul e 
name(3) of tho items to bo repealed. 

(3^ The specific authority shall bo cited following 

tho rulo numb e r and rule nam e for each r e p e al e d 
fute; — Th e authority may b e cit e d following a 
listing of repealed rules if the rules contain th e 
same authority. 

Statutory Authority G.S. 150B-21.17. 

.0303 STATEMENT OF SUBJECT MATTER 

Insofar ao poseiblo. the Stat e m e nt of Subj e ct Matter should 
b e contain e d on th e Notice on Subj e ct Matt e r form, but if 
necessary, tho statement may be continued on a separate 
page, provided that tho separate page conforms with tho 



typing instructions of 26 NCAC 2A .0 4 01. 
Statutory Authority G.S. 1503-21.17. 

SECTION .0400 - ELECTRONIC FILINGS 

.0401 ELECTRONIC FILINGS AND FORMAT 

ffr) — In ord e r to b e consid e r e d an e l e ctronic filing, an 
agency shall submit an e l e ctronic v e rsion of th e proposed 
rule(s) in addition to the filing roquiremonts in this Subohap 
tefr 

(b) Th e e l e ctronic form shall b e a 3 1/2 inch (Lll Mb) or 
5 1/4 inch (1.2 Mb) high d e nsity disk e tt e compatibl e with or 
convertible to WordPerfect 5.2, DOS 5.0 or succeeding 
versions. — A list of compatible and convertible software is 
availabl e from Oi'VH. 

fe^ — Th e fil e d disk e tt e shall id e ntify' th e nam e of th e 
document to bo retrieved and the software used. 

(d) An edited copy of tho proposed rulo(s) and tho filed 
diokotto shall b e r e turn e d to th e ag e ncy. 

( e ) OAH will refuse to accept for publication any notice 
in which tho diskette is not compatible or convortiblo to tho 
publication software. 

Statutory Authority G.S. 150B-21.17. 

SUBCHAPTER 2C - SUBMISSION PROCEDURES 

FOR RULES AND OTHER DOCUMENTS TO BE 

PUBLISHED IN THE NORTH CAROLEVA 

REGISTER AND THE NORTH CAROLINA 

ADMINISTRATIVE CODE 

SECTION .0100 - GENERAL 

.0101 DEFINmONS 

The following definitions shall apply throughout this 
Chapter: 
(1) "Action" means the adoption, amendment, or 

repeal of a rule. 

"Adoption" means a new rule with a new rule 
number. 



(2) 



£4} 

(5) 
(6) 

m 

(8) 

(9) 
(10) 



"Amendment" means an existing rule with a 

deletion, addition or other change to that existing 

rule. 

"Citation" means a reference to a rule by Title. 

Chapter or Subchapter, and Section or Rule 

number. 

"Code" means the North Carolina Administrative 



Code. 

"Commission" means the Rules Review Commis- 
sion. 

"OAH" means the Codifier of Rules at the Office 
of Administrative Hearings. 



"Original" means a printed copy of the document, 
not a photocopy. 

"Register" means the North Carolina Register. 
"Repeal" means the deletion of the entire text of 



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PROPOSED RULES 



a rule. When a rule is repealed, that rule number 
shall not be used again. The number, rule name. 
and final history note shall remain in the Code 
permanently for publication and reference pur- 
poses. 

Statutory Authority G.S. 150B-21.17; 150B-21.18. 

.0102 ORIGINAL AND DUPLICATE COPY 

(a} The agency shall submit an original and one copy of 
any document and form for publication in the Register or 
Code. 

(b) The original and form shall each be permanently 
marked as the original. 

(c) The agency shall include an additional copy of any 
permanent rule that is submitted to the Commission. 

Statutory Authority G.S. 150B-21.17; 150B-21.18; 150B- 
21.19. 

.0103 ELECTRONIC VERSION 

(a) The electronic version shall be a 3 1/2 inch (1.44 Mb) 
high density diskette compatible with or convertible to 
WordPerfect 6.1. DOS 5.0. (A Hst of compatible and 
convertible software is available from OAH.) The filed 
diskette shall identify the name of the document to be 
retrieved and the software used. OAH shall refiise to accept 
for publication any document in which the diskette is not 
compatible with or convertible to the publication software. 

(b) An electronic version shall not be required if ^ 
agency that is unable to provide a diskette that is compatible 
with or convertible to WordPerfect 6.1. DOS 5.0 submits a 
written statement to the Codifier of Rules to that effect. 
This statement shall be signed by the agency head or rule- 
making coordinator. 

Statutory Authority G.S. 150B-21.17: 150B-21.18; 150B- 
21.19. 

.0104 RETURN COPY 

If an agency desires a returned copy of any document 
submitted to OAH. the agency shall submit an additional 
copy permanently marked as the agency's return copy. 

Statutory Authority G.S. 150B-21.17; 150B-21.18; 150B- 
21.19. 

.0105 REFUSAL OF PUBLICATION 

(a) OAH may refuse to publish any document submitted 
for publication in the Register or Code which does not meet 
its requirements. 

(b) OAH shall return any such document to the agency 
with an indication of the changes needed. 

(c) The agency may resubmit such document, but the date 
that OAH receives such resubmission shall govern the 
publication date. 



Statutory Authority G.S. 150B-21.19. 

.0106 RULE-MAKING COORDINATOR AND 
MAILING LIST 

(a) Each agency head shall notify OAH in writing of the 
name and address of the agency's rule-making coordinator. 

(b) The rule-making coordinator shall notify OAH of any 
change in the agency's address. 

(c) Any person who desires to be on the OAH mailing list 
shall notify OAH in writing with their name and address. 

Statutory Authority G.S. 150B-21. 

.0107 GENERAL FORMAT INSTRUCTIONS 

TTie agency shall format each rule submitted to OAH for 
publication in the Register or Code as follows: 

(1) Paper Specifications: 

(a) an 8 '/6 by 1 1 inch sheet of plain white paper. 16 
to 32 lb.: 

(b) one side of the sheet only; 

(c) black ink: 

(d) print font size shall be 10 point: 

(e} portrait print (8'/^ x 11). no landscape printing 
(11 X 8'/^): 

(f) numbered lines on the left margin with each 
page starting with line l^ 

(g) 1.5 line spacing: 

(h) each rule that has more than one page of text 
shall have page numbers appearing at the bottom 
of the page: and 

(i) no staples. 

(2) Tab and Margin Settings: 

(a) Tab settings for all rules shall be set relative 
from the left margin at -H0"Left. -H0.125"Left. 
-l-0.375"Right. -h0.563"Left. -t-0.75"Right. 
+0.938"Left. -H.13"Right. -H. 31 "Left. 
-H.5"Right. -t-1.69"Left. -H. 88 "Right. The 
default tab setting of every W can be used for 
tables and charts: 

(b) line numbers shall be set at .60 from left edge of 
paper; and 

(c) text shall be with a one inch margin on all sides. 
£3} The Introductory Statement shall start on page 1 . 

line \ of each rule. 

(4) When a new chapter, subchapter, or section of 
rules is adopted, the Chapter. Subchapter, and 
Section names shall be provided in bold print with 
the first rule following the introductory statement. 
Two lines shall be skipped between the introduc- 
tory statement and each chapter, subchapter, and 
section name. 

(5) Two lines shall be ski pped before starting the line 
that provides the rule number and rule name. The 
decimal in the rule number is placed in position J^ 
Two tabs are between the rule number and rule 
name. The rule name shall be in capital letters 
and the rule number and name shall be in bold 



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PROPOSED RULES 



print. 
£6} Body of the Rule: 
(a) the body of the rule shall start on the line imme- 

diately followinE the rule name with the follow- 
ing markings: 
(i) adoptions ; new text shall be underlined; 
(ii) amendments ; any text to be deleted shall be 
struck through and new text shall be under- 
lined; 
(iii) repeals - text of the rule shall not be included; 
there will be no lines skipped in the body of the 
rule except in unusual circumstances, such as 
tables; 

the first leyel of text shall start with one tab and 
two spaces after parenthesis; 
the second level of text shall start with two tabs 
and one indent after parenthesis; 
the third level of text shall start with four tabs 
and one indent after parenthesis; 
the fourth level of text shall start with six tabs 
and one indent after parenthesis; 
the fifth level of text shall start with eight tabs 
and one indent after parenthesis; 
the sixth level of text shall start with ten tabs 
and one indent after parenthesis. 
Charts or Tables shall be in a format that is 



(ei 
ih 
i&l 

on 
m 

(a) 

iM 
M 

Ml 

m 

on 
ill 



accommodated by WordPerfect 6. 1. 

History Note: 
shall be in italic font; 

start on the second line preceding the body of 
the rule; 

the first line of the History Note shall start in 
the first position; all lines following shall be five 
tabs; 

the first line shall start with the words "History 
Note: ". followed by one tab and the word 
"Authority". TTie agency shall then cite the 
authoritv(ies) in numerical order for that rule; 
the effective date of the original adoption of the 
rule shall be the next line preceding the author- 
ity. The abbreviation "Eff. " shall be followed 
by this date; 

on the line following the " Eff. " date, the four 
most recent amended dates shall be preceded 
with the words "Amended Eff. " and the dates 
shall be listed in chronological order, with the 
most recent amended date listed first; 
a temporary rule shall be listed as a separate 
item in the histors' note with the following 
words: "Temporary' (Adoption, Amendment, or 
Repeal) Eff (date); 

the repealed date of a rule shall be the last line 
of the history note and start with the words 
"Repealed Eff " followed by the date; 
all items in the history note are separated by 
semicolons with the last line ending with a 
period. 



Ill 



I£l 

(a) 



all history of a rule shall be in chronological 
order following the authority for the rule; 
all dates in the history note shall be complete 
with the month spelled out, not contain any 
abbreviations. 
Numbers within the text shall be as follows: 



(10) 



numbers from one to nine shall be spelled out; 

figures shall be used for numbers over nine; 

if a phrase contains two numbers, only one of 

which is over nine, fi gures shall represent both. 
Monetary figures within the text shall be spelled 
out followed by the numerical figure in parenthe- 
sis. Decimal and zeros shall be used only for 
even dollar amounts of sums less than one thou- 
sand dollars ($1,000). 



Statutory Authority 
1508-21.19. 



G.S. 150B-21.17; 150B-21.18; 



.0108 CITATION TO AUTHORITIES 

(a) The agency shall cite authorities according to the most 
current edition of the rules of citation contained in "A 
Uniform System of Citation" except as listed in Paragraph 
(b) of this Rule. "A Uniform System of Citation" is hereby 
incorporated by reference and includes subsequent amend- 
ments and editions. A copy may be obtained from the 
Harvard Law Review Association, Gannett House, 151 1 
Massachusetts Ave., Cambridge, Massachusetts 02138 at a 
cost of seven dollars and fifty dollars ($7.50). 

(h) The agency shall cite the following authorities as: 

(1) the General Statutes of North Carolina as 
"G.S.", 

(2) the Session Laws of North Carolina as "S.L. 
19xx, c^ 2ij. s^ xli 

(3) an Executive Order issued by the Governor as 
"E.O. #1 (Governor's name), (year)"; 

(4) the North Carolina Administrative Code as 
"(Titled) NCAC (Chapter or Subchapter £[ 
(.»mtf)"\ and 

[5] the North Carolina Register as "(Vol. ff) NCR 
(Issue ff), (page tf). 

Statutory Authority G.S. 150B-21.17; 150B-21.18; 
150B-21.19. 

.0109 ILLUSTRATIONS/NOTES 

An agency may include material in the text of a rule which 
is not a substantive portion of the rule but is an illustration 
of something in the rule. Illustrations shall be merely 
examples or clarifications which, when not read, do not 
change the meaning of the rule. TTie material which is 
meant only as an illustration shall be set aside by preceding 
it with the word "Note: ". 

Statutory Authority G.S. 150B-21.18; 150B-21.19; 150B- 
21.20. 



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SECTION .0200 - CODIFICATION OF RULES 



Stacutory Authority G.S. 150B-21.18; 150B-21.19. 



.0206 LISTING WTTHIN RULES 

(a) When a rule is not subdivided into paragraphs but 
contains a list, the sequence of labels for the lists shall be: 



.0201 CODIFICATION SYSTEM 

(a) All rules shall be codified within the system described 
in this Section. 

fb) OAH shall assign a title number to any agency that 
publishes its rules in the Code. 

(c) The agency shall arrange its rules in Chapters, and 
arrange them in subchapters. The agency shall arrange the 
chapters or subchapters into sections, and the sections into 
rules. 

(d) The agency may reserve in writing a specified 

chapter, subchapter, section or rule for future use. Statutory Authority G.S. 150B-21. 18; 150B-21. 19. 



(1). (2). (3); (a), (h), (c); (i). (iiV (iii): (A). (B). (C^): m. 
(in. mi). A rule shall not begin with a list. A list con- 
tained within a rule shall be preceded by some form of 
introductory material. 

(b) If there is a list within a paragraph, the rule shall 
follow the sequence in Rule .0205 of this Section. 



Statutory Authority G.S. 150B-21.18; 150B-21.19. 

.0202 SUBCHAPTER SUBDIVISION 

(a) An agency may use the subchapter to divide chapters 
into subject areas. 

£b} When subdividing a chapter into subchapters, an 
agency shall subdivide the entire chapter into at least two 
subchapters. 

(c) A subchapter of the Code shall be represented by a 
capital letter following the chapter number. Subchapters 
shall be lettered consecutively unless a subchapter letter has 
been reserved. 

Statutory Authority G.S. 150B-21.18; 150B-21.19. 

.0203 SECTION SUBDIVISION 

(a) The agency shall place rules m the same subject area 
in one section. The section is the subdivision that contains 
rules. 

fb) All sections shall be represented as the first two digits 
of a four digit number following a decimal. Sections shall 
be consecutive starting with Section .0100 unless a section 
number has been reserved. There is a limit of 99 sections 
within any chapter or subchapter. 

Statutory Authority G.S. 150B-21.18; 150B-21.19. 

.0204 RULE 

The rule shall be represented by the second two digits of 
the four numbers following a decimal. Rules shall be 
numbered consecutively unless a rule number has been 
reserved. The last two digits of the first rule shall be "01 ". 

Statutory Authority G.S. 150B-21.18; 150B-21.19. 

.0205 SUBSECTIONS OF RULES 

An agency shall subdivide a rule containing more than one 
idea into paragraphs. Such paragraphs may be subdivided 
as follows: (a), (b). (c); (1). (2). (3); (A). TB). (C): (i). 
(ii). (iii): (I). (11). (III). All subsections of rules shall be 
represented by this order, and each label shall be in paren- 
theses. 



SECTION .0300 - THE NORTH CAROLINA 
REGISTER 

.0301 SUBMISSION AND PUBLICATION 
SCHEDULE 

(a) Submissions for publication in the Register shall be 
received in OAH by the closing date for the issue as 
determined under Paragraph (b) of this Rule. 

(b) OAH shall publish the Register on the first and 
fifteenth of each month if the first or fifteenth of the month 
is not a Saturday. Sunday, or State holiday for employees 
mandated by the State Personnel Commission. If the first 
or fifteenth of any month is a Saturday. Sunday, or a 
holiday for State employees. OAH shall pubUsh the Register 
on the next State business day. The last day for filing for 
any issue of the Register shall be 15 days before the issue 
date excluding Saturdays. Sundays, and holidays for State 
employees. In computing the time prescribed or allowed by 
this Rule, the day of publication of the Register shall not be 
included. The last day of the period so computed shall be 
included, unless it is a Saturday, Sunday, or State holiday, 
in which event the period shall run until the preceding day 
which is not a Saturday, Sunday, or State holiday. OAH 
shall publish in each issue of the Register a table of publica- 
tion deadlines and schedules for at least the next 12 issues. 
This table is published as a public service and the computa- 
tion of time periods are not to be deemed binding or 
controlling. 

Statutory Authority G.S. 150B-21.17. 

.0302 AVAILABILITY OF THE NORTH 
CAROLINA REGISTER 

(a) An annual subscription to the Register shall be one 
hundred and ninety-five dollars ($195.00) plus NC sales tax 
if applicable. 

(b) An annual electronic subscription shall be two 
hundred and thirty-five dollars ($235.00) plus NC sales tax 
if applicable. 

(c) Individual issues shall be ten dollars ($10.00) plus 
N.C. sales tax if applicable. 

(d) A five percent discount shall be applied to the total 
subscription price when ordering multiple copies. 



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PROPOSED RULES 



(e) A person requesting a subscription shall direct the 
request to the Office of Administrative Hearings, PO 
Drawer 27447, Raleiph. NC 27611-7447. (919) 733-2678. 

Statutory Authority G.S. I50B-21.25. 

.0303 NOTICE OF PERMANENT 

RULE-MAKING PROCEEDINGS 

Permanent rule-making shall begin with a Notice of Rule- 
Making Proceedings pursuant to G.S. 150B-21.2rb). The 
agency shall make such notice on a form provided by OAH. 

Statutory Authority G.S. 150B-21.17. 

.0304 PUBLICATION OF RULE-MAKING 
AGENDA 

(al If ^ agency publishes a rule-making agenda, the 
agency shall submit the agenda, the submission form, and 
an electronic version of the agenda. 

(b) OAH shall return to 4e agency an edited copy of the 
agenda and the filed diskette. 

Statutory Authority G.S. 150B-21.17. 

.0305 PUBLICATION OF NOTICE OF TEXT 

(a) Based upon the type of notice as required in G.S. 
150B-21.2(c) or (g), the agency shall complete one of the 
following forms provided by OAH: 

(1) Notice of Text and Hearing; or 

(2) Notice of Text. 

(h) All rules submitted for publication by an agency at the 
same time, with the same proposed effective date, and with 
the same public hearing date and location if a hearing is 
scheduled, shall be listed on a single form. 

(c) The agency shall submit the text of the proposed rule 
and an electronic version. OAH shall return to the agency 
an edited copy of the rule and the filed diskette. 

(d) A rule proposed to be adopted or amended shall meet 
the following requirements: 

(1) The rule shall contain an introductory statement 
immediately preceding the text. The statement 
shall contain the rule citation and the action 
proposed to be taken. 

(2) Following the introductory statement, ' the rule 
number, name, text and history note shall be in 
the form specified in Rule .0107 of this Sub- 
chapter and as follows: 

(A) any text to be deleted from an existing rule 
shall be indicated by strikeout marks; 

(B) any new or added text shall be underlined; and 

(C) punctuation shall be considered a part of the 
previous word, such as: 

(i) when the previous word is deleted, the 
punctuation shall also be struck through 
with the previous word; and 

(ii) when punctuation is added after an existing 
word, the existing word shall be struck 



through and followed by the word and 
punctuation underlined, 
(e) A rule prop>osed to be repealed shall meet the follow- 
ing requirements: 

(1) The rule shall contain an introductory statement. 
The statement shall contain the rule citation and 
the action proposed to be taken. 

(2) Following the introductory statement, the rule 
shall contain the number and rule name of the 
rule proposed to be repealed. 

(3) A history note shall follow the rule number and 
name. 

Statutory Authority G.S. 150B-21.17. 

SECTION .0400 - NORTH CAROLINA 
ADMINISTRATIVE CODE 

.0401 PUBLICATION OF A PERMANENT RULE 

The agency shall submit a permanent rule for publication 
in the Code with the following: 

(1) An original submission form and copy (Rule .0402 
of this Section). 

(2) An original and copies of the permanent rule 
(Rule .0102 of this Subchapter) prepared in 
accordance with Rule .0107 of this Subchapter 
containing: 

(a) an introductory statement (Rule .0403 of this 
Section); 

(b) the body of the rule (Rule .0404 of this Section); 

(c) any changes in the rule (Rule .0404 of this 
Section); 

(d) the history note (Rule .0405 of this Section). 

(3) A return copy, if desired (Rule .0104 of this 
Subchapter). 

Statutory Authority G.S. 150B-21.19. 

.0402 SUBNflSSION FOR PERMANENT RULE 
FORM 

(a) TTie agency shall submit a completed typed Submis- 
sion for Permanent Rule form for each rule submitted for 
publication in the Code, except that the agency shall submit 
a single Submission for Permanent Rule form for all 
repealed rules that are codified within the same section and 
are consecutive numerically. 

fb) The agency head or rule-making coordinator shall sign 
the Submission for Permanent Rule form. If the agency 
head has designated this authority to another pursuant to 
G.S. 143B-10(a). then the agency shall submit a copy of 
such designation. It is only necessary to submit one copy of 
such designation with all rules filed by an agency for a 
single month's review by the Commission. 

Statutory Authority G.S. 1508-21.19. 

.0403 INTRODUCTORY STATEMENT 



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(a) The agency shall include an mtroductorv statement 
immediately preceding each rule submitted to OAH for 
publication in the Code. This introductory statement shall 
contain the rule citation and the action taken. 

(b) If notice of the proposed action was published in the 
Register, the agency shall include the volume, issue and 
page or pages of the notice publication in the introductory 
statement. 

(c) If the text differs in any. way from the proposed rule 
published in the Register, the agency shall include the 
underlined words "with changes" in the introductory 
statement. 

(d) When an agency repeals a rule that was noticed to be 
amended, the agency shall state that the rule was originally 
proposed to be amended but is repealed in the introductory 
statement. 

(e) If notice of the proposed rule was not required for 
publication in the Register, the agency shall include a 
citation to the statute exempting the rule from notice in the 
introductory statement. 

Statutory Authority G.S. 150B-21.19. 

.0404 BODY OF THE RULE 

(a) The agency shall prepare for publication in the Code 
any permanent rule not published in the Register or that 
does not differ in any way from the proposed rule published 
in the Register according to the general format instructions 
in Rule .0107 of this Subchapter. 

£bi If a permanent rule differs in any way from the 
proposed rule published in the Register, the following shall 
apply: 

(U An agency shall identify changes in an adopted 
rule by striking through deleted portions, and 
underlining added portions. The unchanged text 
shall not be underlined. 

(2) An agency shall identify changes in an amended 
rule as follows: 

(A) when text has been added, the text added shall 
be underlined and highlighted on a copy of the 
rule: 

(B) when existing text has been deleted, the text 
deleted shall be struck through and highlighted 
on a copy of the rule; 

(O when text that was proposed to be deleted has 
been restored, the restored text shall be high- 
lighted, but not underlined or struck through, 
on a copy of the rule; and 

(D) when text that was proposed to be added has 
been deleted, the deleted proposed text shall 
not be shown, but a highlight mark shall be 
inserted where the proposed text is omitted. 

(3) If the agency repeals a rule originally noticed to 
be amended, then the agency shall submit the 
rule as a permanent repeal . 

Statutory Authority G.S. 150B-21.19. 



.0405 HISTORY NOTE 

The agency shall include a history note for each rule 
submitted to OAH for publication in the Code, containing 
the following information: 

(1) the authority for the rule; 

£2} the effective date of the adoption of the rule; 

(3) the effective date of the four most recent amend- 
ments to the rule; 

(4) 

(5} 



the effective date of the repeal ; and 

any other history references pertaining to the rule. 



Statutory Authority G.S. 150B-21.19. 

.0406 CHANGES TO RULE, SECTION OR 

CHAPTER NAMES AND HISTORY NOTES 

An agency shall make a request for changes to a rule, 
section or chapter name and to a history note in writing to 
OAH. This letter shall cite the rule, identify the changes, 
and be signed by the agency head or rule-making coordina- 
tor. 

Statutory Authority G.S. 150B-21.19: 150B-21.20. 

.0407 RECODIFICATION OF RULES 

An agency may request that one or more of its rules be 
recodified. The agency shall submit a letter to OAH 
containing the citation to the existing rule and the recodified 
citation, and the reasons for the recodification. The letter 
shall be signed by the agency head or rule-making coordina- 
tor. The recodification shall be effective upon a pproval by 
OAH. OAH may refuse to approve a recodification when 
the recodification does not facilitate the use of the Code. 



Statutory Authority G. S. 
150B-21.19; 150B-21.20. 



.0408 



150B-21. 7; 150B-21. 18; 



TRANSFER OF RULES TO ANOTHER 
AGENCY 

An agency desiring to transfer rules pursuant to G.S. 
150B-21 .7 shall submit a letter to OAH requesting such 
transfer. The letter shall contain the citation to the existing 
rule, the recodified citation, and the authority for the 
transfer. The letter shall be signed by the agency head or 
rule-making coordinator. 

Statutory Authority G.S. 150B-2L7; 150B-21.18; 150B- 
21.19. 

.0409 AGENCY FINAL COPY OF PERMANENT 
RULES 

(a) OAH shall send a final draft of a permanent rule to 
the agency's rule-making coordinator after the rule is filed 
with OAH. 

(h) Within 30 days of the date appearing on the final 
draft, the agency shall notify OAH in writing of any 
typographical errors made by OAH in entering the rule into 



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PROPOSED RULES 



the Code. Any typographical errors found by the agency 
after the 30 days may be corrected by an amendment to the 
rule. 



Statutory Authority G.S. 150B-21.5; 150B-21.20. 
SECTION .0500 - TEMPORARY RULES 

.0501 PUBLICATION OF A TEMPORARY RULE 

The agency shall submit a temporary rule for review by 
OAH and publication in the Code with the following: 

(1) An original submission form and copy (Rule .0502 
of this Section). 

(2) An original and copies of the temporary rule (Rule 
.0102 of this Subchapter) prepared in accordance 
with Rule .0107 of this Subchapter, containing: 

(a) an introductory statement (Rule .0403 of this 
Subchapter); 

{b} the body of the rule (Rule .0404 of this Sub- 
chapter); 

(c) the history note (Rule .0405 of this Subchapter). 

(3) A return copy, if desired (Rule .0104 of this 
Subchapter). 

Statutory Authority G.S. 1508-21.19. 

.0502 TEMPORARY RULE CERTIFICATION FORM 

(a) The agency shall submit a completed typed Temporary 
Rule Certification form for a rule to be submitted for 
publication in the Code. The agency shall submit a single 
Temporary Rule Certification form for temporary rules 
when: 



(1) the rules are codified within the same chapter in 
the Code; 

(2) the finding for the action is the same; 

(3) the proposed effective date is the same; and 

(4) the rules are submitted at the same time for 
review by the Codifier of Rules. 

(b) TTie agency head shall sign the Temporary Rule 
Certification form. If the agency head has designated this 
authority to another pursuant to G.S. 143B-10(a). then the 
agency shall submit a copy of such designation. 

Statutory Authority G.S. 150B-21.19. 

.0503 APPEARANCE BY AGENCY 

(a) TTie Codifier may request that a representative of the 
agency a ppear before him during the review to clarify the 
agency's finding of need or to consider additional informa- 
tion submitted by the agency or any interested person. 

(b) Failure of the agency to appear may result in a 
finding that the criteria for a temporary rule have not been 
met. 

Statutory Authority G.S. 150B-21.1. 



I 



i 



i 



2172 



NORTH CAROLINA REGISTER 



November 15, 1995 10:16C 



RRC OBJECTIONS 






The Rules Review Commission (RRC) objected to the followine rules in accordance with G.S. 150B-21.9(a). 


State 


aeencies are reauired to respond to RRC as provided in G.S. 150B-21. 12(a). 







AGRICULTURE 

Structural Pest Control Division 

2 NCAC 34 .0904 - Prohibited Acts 
Agency Revised Rule 

ENVIRONMENT, HEALTH, AND NATURAL RESOURCES 

Environmental Health 

15 A NCAC 18A .2509 - Plan Review and Approval 

Rule Withdrawn by Agency 
15A NCAC 18A .2531 - Wading Pools 

Agency Revised Rule 
15A NCAC ISA .2531 - Spas and Hot Tubs 

Agency Revised Rule 

Environmental Management 

15A NCAC 2B .0212 - Fresh Surface Water Quality Standards for Class WS-I Waters 

Agency Revised Rule 
15A NCAC 2B .0214 - Fresh Surface Water Quality Standards for Class WS-Il Waters 

Agency Revised Rule 
15 A NCAC 2B .0215 - Fresh Surface Water Quality Standards for Class WS-111 Waters 

Agency Revised Rule 
15 A NCAC 2B .0219 - Fresh Surface Water Quality Standards for Class B Waters 

Agency Revised Rule 
15A NCAC 2B .0222 - Tidal Salt Water Quality Standards for Class SB Waters 

Agency Revised Rule 
15 A NCAC 2B .0224 - High Quality Waters 

Agency Revised Rule 

Health: Epidemiology 

15A NCAC 19H .0702 - Research Requests 
Rule Withdrawn by Agency 

Sedimentation Control 

15A NCAC 4B . 0020 - Inspections and Investigations 
Agency Revised Rule 

Solid Waste Management 

15A NCAC 13B .0815 - Incorporation by Reference 

Agency Revised Rule 
15 A NCAC 13B .0817 - Septage Management Firm Permits 

Agency Revised Rule 
15 A NCAC 13B .0819 - Septage Land Application Site Permits 

Agency Revised Rule 
15A NCAC 13B .0820 - Septage Detention and Treatment Facility Permits 

Agency Revised Rule 



RRC Objection 
Obj. Removed 



RRC Objection 
Obj. Removed 



10/18/95 
10/18/95 





09/21/95 


RRC Objection 


09/21/95 


Obj. Removed 


09/21/95 


RRC Objection 


09/21/95 


Obj. Removed 


09/21/95 


RRC Objection 


09/21/95 


Obj. Removed 


09/21/95 


RRC Objection 


09/21/95 


Obj. Removed 


09/21/95 


RRC Objection 


09/21/95 


Obj. Removed 


09/21/95 


RRC Objection 


09/21/95 


Obj. Removed 


09/21/95 


RRC Objection 


09/21/95 


Obj. Removed 


09/21/95 


RRC Objection 


09/21/95 


Obj. Removed 


09/21/95 



09/21/95 



09/21/95 
09/21/95 



RRC Objection 


09/21/95 


Obj. Removed 


09/21/95 


RRC Objection 


09/21/95 


Obj. Removed 


09/21/95 


RRC Objection 


09/21/95 


Obj. Removed 


09/21/95 


RRC Objection 


09/21/95 


Obj. Removed 


09/21/95 



10:I6C 



NORTH CAROLINA REGISTER 



November 15, 1995 2173 



RRC OBJECTIONS 



ISA NCAC 13B .0821 - Location of Septa ge Land Application Sites RRC Objection 09/21/95 

Agency Re\'Lsed Rule Obj. Removed 09/21/95 

15A NCAC 13B .0822 - Management of Septage Land Application Sites RRC Objection 09/21/95 

Agency Revised Rule Obj. Removed 09/21/95 

15A NCAC 13B .0825 - Standards for Septage Treatment and Detention Facilities RRC Objeaion 09/21/95 

Agency Rexised Rule Obj. Removed 09/21/95 



HUMAN RESOURCES 



Facility Services 



10 NCAC 3C .3001 - Definitions 

No Response from Agency 

Agency Revised Rule 
10 NCAC 3C .3108 - Suspension of Admissions 

No Response from Agency 

Agency Rexised Rule 
10 NCAC 3C .3205 - Discharge of Minor or Incompetent 

No Response from Agency 

Agency Re\ised Rule 
10 NCAC 3C .3302 - Minimum Provisions of Patient's Bill of Rights 

No Response from Agency 

Agency Revised Rule 
10 NCAC 3C .3502 - Bylaws 

No Response from Agency 

Agency Revised Rule 
10 .NCAC 3C .3602 - Responsibilities 

No Response from Agency 

Agency Revised Rule 
10 NCAC 3C .3603 - Personnel Policies and Practices 

No Response from Agency 

Agency Revised Rule 
10 NCAC 3C .3607 - Personnel Health Requirements 

No Response from Agency 

Agency Revised Rule 
10 NCAC 3C .3608 - Insurance 

No Response from Agency 

Agency Revised Rule 
10 NCAC 3C .3704 - Status 

No Response from Agency 

Agency Revised Rule 
10 NCAC 3C .3902 - Manager 

No Response from Agency 

Rule Returned to Agency 
10 NCAC 3C .3904 - Patient Access 

No Response from Agency 

Agency Re\-ised Rule 
10 NCAC 3C .4003 - Policies and Procedures 

No Response from Agency 

Agency Revised Rule 
10 NCAC 3C .4102 - Classification of Optional Emergency Ser\-ices 

No Response from Agency 

Rule Returned to Agency 
10 NCAC 3C .4104 - Medical Director 

No Response from Agency- 
Rule Returned to Agency 
10 NCAC 3C .4203 - Nursing Staff 



RRC Objeaion 
Obj. Cont'd 
Obj. Cont'd 
RRC Objection 
Obj. Cont'd 
Obj. Removed 
RRC Objection 
Obj. Cont'd 
Obj. Removed 
RRC Objection 
Obj. Cont'd 
Obj. Cont'd 
RRC Objection 
Obj. Cont'd 
Obj. Removed 
RRC Objeaion 
Obj. Cont'd 
Obj. Removed 
RRC Objeaion 
Obj. Cont'd 
Obj. Removed 
RRC Objeaion 
Obj. Cont'd 
Obj. Removed 
RRC Objection 
Obj. Cont'd 
Obj. Removed 
RRC Objeaion 
Obj. Cont'd 
Obj. Removed 
RRC Objeaion 
Obj. Cont'd 

RRC Objection 
Obj. Cont'd 
Obj. Removed 
RRC Objection 
Obj. Cont'd 
Obj. Removed 
RRC Objection 
Obj. Cont'd 

RRC Objection 
Obj. Cont'd 

RRC Objection 



07/13/95 
09/21/95 
10/18/95 
07/13/95 
09/21/95 
10/18/95 
07/13/95 
09/21/95 
10/18/95 
07/13/95 
09/21/95 
10/18/95 
07/13/95 
09/21/95 
10/18/95 
07/13/95 
09/21/95 
10/18/95 
07/13/95 
09/21/95 
10/18/95 
07/13/95 
09/21/95 
10/18/95 
07/13/95 
09/21/95 
10/18/95 
07/13/95 
09/21/95 
10/18/95 
07/13/95 
09/21/95 
10/18/95 
07/13/95 
09/21/95 
10/18/95 
07/13/95 
09/21/95 
10/18/95 
07/13/95 
09/21/95 
10/18/95 
07/13/95 
09/21/95 
10/18/95 
07/13/95 



2174 



NORTH CAROLINA REGISTER 



November 15, 1995 10:16C 



RRC OBJECTIONS 



No Response from Agency 

Rule Returned to Agency 
10 NCAC 3C .4303 - Nursing Services Maternal Services 

No Response from Agency 

Rule Returned to Agency 
10 NCAC 3C .4307 - Nursing Staff of Neonatal Services 

No Response from Agency 

Rule Returned to Agency 
10 NCAC 3C .4401 - Organization 

No Response from Agency 

Rule Returned to Agency 
10 NCAC 3C .4502 - Pharmacist 

No Response from Agency 

Rule Returned to Agency 
10 NCAC 3C . 4508 - Space 

RRC Rescinded its July Approval 

Rule Withdrawn by Agency 
10 NCAC 3C .4512 - Medications Dispensed 

No Response from Agency 

Agency Revised Rule 
10 NCAC 3C .4702 - Organization 

No Response from Agency 

Rule Returned to Agency 
10 NCAC 3C .4703 - Sanitation and Safety 

No Response from Agency 

Agency Revised Rule 
10 NCAC 3C .4704 - Distribution of Food 

No Response from Agency 

Agency Revised Rule 
10 NCAC 3C .4705 - Nutritional Support 

No Response from Agency 

Rule Returned to Agency 
10 NCAC 3C .4801 - Organization 

No Response from Agency 

Rule Returned to Agency 
10 NCAC 3C .4905 - Tissue Removal and Disposal 

No Response from Agency 

Agency Revised Rule 
10 NCAC 3C .5002 - Delivery of Care 

No Response from Agency 

Rule Returned to Agency 
10 NCAC 3C .5201 - Psychiatric /Sub stance Abuse Svcs.: Applicability of Rules 

No Response from Agency 

Agency Revised Rule 
10 NCAC 3C .5202 - Definitions Applicable/Psychiatric/Substance Abuse Svcs. 

No Response from Agency 

Agency Revised Rule 
10 NCAC 3C .5205 - Seclusion 

No Response from Agency 

Agency Revised Rule 
10 NCAC 3C .5302 - Definitions 

No Response from Agency 

Rule Withdrawn by Agency 
10 NCAC 3C .5309 - Nursing/Health Care Administration and Supervision 

No Response from Agency 

Rule Withdrawn by Agency 
10 NCAC 3C .5315 - Dental Care 



Obj. Cont'd 


09121195 




10/18/95 


RRC Objection 


07/13/95 


Obj. Cont'd 


09/21/95 




10/18/95 


RRC Objection 


07/13/95 


Obj. Cont'd 


09/21/95 




10/18/95 


RRC Objection 


07/13/95 


Obj. Cont'd 


09/21/95 




10/18/95 


RRC Objection 


07/13/95 


Obj. Cont'd 


09/21/95 




10/18/95 




10/18/95 




10/18/95 


RRC Objection 


07/13/95 


Obj. Cont'd 


09/21/95 


Obj. Removed 


10/18/95 


RRC Objection 


07/13/95 


Obj. Cont'd 


09/21/95 




10/18/95 


RRC Objection 


07/13/95 


Obj. Cont'd 


09/21/95 


Obj. Removed 


10/18/95 


RRC Objection 


07/13/95 


Obj. Cont'd 


09/21/95 


Obj. Removed 


10/18/95 ' 


RRC Objeaion 


07/13/95 


Obj. Cont'd 


09/21/95 




10/18/95 


RRC Objection 


07/13/95 


Obj. Cont'd 


09/21/95 




10/18/95 


RRC Objection 


07/13/95 


Obj. Cont'd 


09/21/95 


Obj. Removed 


10/18/95 


RRC Objection 


07/13/95 


Obj. Cont'd 


09/21/95 




10/18/95 


RRC Objection 


07/13/95 


Obj. Cont'd 


09/21/95 


Obj. Removed 


10/18/95 


RRC Objection 


07/13/95 


Obj. Cont'd 


09/21/95 


Obj. Cont'd 


10/18/95 


RRC Objection 


07/13/95 


Obj. Cont'd 


09/21/95 


Obj. Removed 


10/18/95 


RRC Objection 


07/13/95 


Obj. Cont'd 


09/21/95 




10/18/95 


RRC Objection 


07/13/95 


Obj. Cont'd 


09/21/95 




10/18/95 


RRC Objection 


07/13/95 



10:16C 



NORTH CAROLINA REGISTER 



November 15, 1995 2175 



RRC OBJECTIONS 



No Response from Agency 

Rule Withdrawn by Agency 
10 NCAC 3C .5318 - Activities and Recreation 

No Response from Agency 

Rule Withdrawn by Agency 
10 NCAC 3C .5319 - Social Services 

No Response from Agency 

Rule Withdrawn by Agency 
10 NCAC 3C .5322 - Brain Injury Extended Care Physician Services 

No Response from Agency 

Rule Withdrawn by Agency 
10 NCAC 3C .5323 - Brain Injury Extended Care Program Requirements 

No Response from Agency 

Rule Withdrawn by Agency 
10 NCAC 3C .5324 - Special Nursing Req. Brain Injury Long Term Care 

No Response from Agency 

Rule Withdrawn by Agency 
10 NCAC 3C .5325 - Ventilator Dependence 

No Response from Agency 

Rule Withdrawn by Agency 
10 NCAC 3C .5326 - Physician Services for Ventilator Dependent Patients 

No Response from Agency 

Rule Withdrawn by Agency 
10 NCAC 3C .5403 - HTV Designated Unit Policies and Procedures 

No Response from Agency 

Rule Withdrawn by Agency 
10 NCAC 3C .5405 - Physician Services in a HIV Designated Unit 

No Response from Agency 

Rule Withdrawn by Agency 
10 NCAC 3C .5407 - Use of Investigational Drugs on the HIV Designated Unit 

No Response from Agency 

Rule Withdrawn by Agency 
10 NCAC 3C .5501 - Definitions 

No Response from Agency 

Rule Withdrawn by Agency 
10 NCAC 3C .5502 - Physician Reg. for Inpatient Rehab. Facilities or Units 

No Response from Agency 

Rule Withdrawn by Agency 
10 NCAC 3C .5507 - Comprehensive Rehabilitation Personnel Administration 

No Response from Agency 

Rule Withdrawn by Agency 
10 NCAC 3C .5508 - Comprehensive Inpatient Rehab. Program Staffing Req. 

No Response from Agency 

Rule Wtihdrawn by Agency 
10 NCAC 3C .5512 - Additioruil Req. for Traumatic Brain Injury Patients 

No Response from Agency 

Rule Withdrawn by Agency 
10 NCAC 3C .5513 - Additional Req. for Spinal Cord Injury Patients 

No Response from Agency 

Rule Withdrawn by Agency 
10 NCAC 3C .6102 - List of Referenced Codes and Standards 

No Response from Agency 

Agency Revised Rule 
10 NCAC 3C . 6208 - Obstetrical Department Requirements 

No Response from Agency 

Agency Revised Rule 
10 NCAC 3H .2001 - Definitions 



Obj. 


Com 'd 


09/21/95 
10/18/95 


RRC 


' Objection 


07/13/95 


Obj. 


Cont 'd 


09/21/95 
10/18/95 


RRC 


' Objection 


07/13/95 


Obj. 


Cont 'd 


09/21/95 
10/18/95 


RRC 


' Objection 


07/13/95 


Obj. 


Cont 'd 


09/21/95 
10/18/95 


RRC 


' Objeaion 


07/13/95 


Obj. 


Cont 'd 


09/21/95 
10/18/95 


RRC 


' Objection 


07/13/95 


Obj. 


Cont'd 


09/21/95 
10/18/95 


RRC 


' Objection 


07/13/95 


Obj. 


Cont 'd 


09/21/95 
10/18/95 


RRC 


' Objection 


07/13/95 


Obj. 


Cont'd 


09/21/95 
10/18/95 


RRC 


' Objection 


07/13/95 


Obj. 


Cont 'd 


09/21/95 
10/18/95 


RRC 


' Objection 


07/13/95 


Obj. 


Cont'd 


09/21/95 
10/18/95 


RRC 


' Objection 


07/13/95 


Obj. 


Cont'd 


09/21/95 
10/18/95 


RRC 


' Objection 


07/13/95 


Obj. 


Cont'd 


09/21/95 
10/18/95 


RRC 


' Objection 


07/13/95 


Obj. 


Cont 'd 


09/21/95 
10/18/95 


RRC 


' Objection 


07/13/95 


Obj. 


Cont 'd 


09/21/95 
10/18/95 


RRC 


' Objeaion 


07/13/95 


Obj. 


Cont'd 


09/21/95 
10/18/95 


RRC 


' Objection 


07/13/95 


Obj. 


Cont'd 


09/21/95 
10/18/95 


RRC 


' Objection 


07/13/95 


Obj. 


Cont 'd 


09/21/95 
10/18/95 


RRC 


' Objection 


07/13/95 


Obj. 


Cont 'd 


09/21/95 


Obj. 


Removed 


10/18/95 


RRC 


' Objection 


07/13/95 


Obj. 


Cont'd 


09/21/95 


Obj. 


Removed 


10/18/95 


RRC 


' Objection 


07/13/95 



2176 



NORTH CAROLINA REGISTER 



November 15, 1995 10:16C 



RRC OBJECTIONS 



No Response from Agency 

Rule Returned to Agency 
10 NCAC 3H .2201 - Administrator 

No Response from Agency 

Rule Returned to Agency 
10 NCAC 3H .2202 - Admissions 

No Response from Agency 

Rule Returned to Agency 
10 NCAC 3H .2203 - Patients Not to be Admitted 

No Response from Agency 

Rule Returned to Agency 
10 NCAC 3H .2206 - Medical Director 

No Response from Agency 

Rule Returned to Agency 
10 NCAC 3H .2209 - Infection Control 

No Response from Agency 

Agency Revised Rule 
10 NCAC 3H .2212 - Quality Assurance Committee 

No Response from Agency 

Rule Returned to Agency 
10 NCAC 3H .2301 - Patient Assessment and Care Planning 

No Response from Agency 

Rule Returned to Agency 
10 NCAC 3H .2302 - Nursing Services 

No Response from Agency 

Rule Returned to Agency 
10 NCAC 3H . 2308 - Domiciliary Home Personnel Requirements 

No Response from Agency 

Rule Returned to Agency 
10 NCAC 3H .2401 - Maintenance of Medical Records 

No Response from Agency 

Rule Returned to Agency 
10 NCAC 3H .2501 - Availability of Physician's Services 

No Response from Agency 

Rule Returned to Agency 
10 NCAC 3H .2505 - Brain Injury Long-Term Care Physician Services 

No Response from Agency 

Rule Returned to Agency 
10 NCAC 3H .2506 - Physician Services for Ventilator Dependent Patients 

No Response from Agency 

Rule Returned to Agency 
10 NCAC 3H .2601 - Availability of Pharmaceutical Services 

No Response from Agency 

Agency Revised Rule 
10 NCAC 3H .2604 - Drug Procurement 

No Response from Agency 

Agency Revised Rule 
10 NCAC 3H .2605 - Drug Storage and Disposition 

No Response from Agency 

Rule Returned to Agency 
10 NCAC 3H .2606 - Pharmaceutical Records 

No Response from Agency 

Rule Returned to Agency 
10 NCAC 3H .2607 - Emergency Drugs 

No Response from Agency 

Rule Returned to Agency 
10 NCAC 3H .2701 - Provision of Nutrition and Dietetic Services 



Obj. Cont'd 


09/21/95 




10/18/95 


RRC Objection 


07/13/95 


Obj. Cont'd 


09/21/95 




10/18/95 


RRC Objection 


07/13/95 


Obj. Cont'd 


09/21/95 




10/18/95 


RRC Objection 


07/13/95 


Obj. Cont'd 


09/21/95 




10/18/95 


RRC Objection 


07/13/95 


Obj. Cont'd 


09/21/95 




10/18/95 


RRC Objection 


07/13/95 


Obj. Cont'd 


09/21/95 


Obj. Removed 


10/18/95 


RRC Objection 


07/13/95 


Obj. Cont'd 


09/21/95 




10/18/95 


RRC Objection 


07/13/95 


Obj. Cont'd 


09/21/95 




10/18/95 


RRC Objection 


07/13/95 


Obj. Cont'd 


09/21/95 




10/18/95 


RRC Objection 


07/13/95 


Obj. Cont'd 


09/21/95 




10/18/95 


RRC Objection 


07/13/95 


Obj. Cont'd 


09/21/95 




10/18/95 


RRC Objection 


07/13/95 


Obj. Cont'd 


09/21/95 




10/18/95 


RRC Objection 


07/13/95 


Obj. Cont'd 


09/21/95 




10/18/95 


RRC Objection 


07/13/95 


Obj. Cont'd 


09/21/95 




10/18/95 


RRC Objection 


07/13/95 


Obj. Cont'd 


09/21/95 


Obj. Cont'd 


10/18/95 


RRC Objection 


07/13/95 


Obj. Cont'd 


09/21/95 


Obj. Removed 


10/18/95 


RRC Objection 


07/13/95 


Obj. Cont'd 


09/21/95 




10/18/95 


RRC Objection 


07/13/95 


Obj. Cont'd 


09/21/95 




10/18/95 


RRC Objection 


07/13/95 


Obj. Cont'd 


09/21/95 




10/18/95 


RRC Objection 


07/13/95 



10:16C 



NORTH CAROLINA REGISTER 



November 15, 1995 2177 



RRC OBJECTIONS 



No Response from Agency 

Agency Revised Rule 
10 NCAC 3H .2801 - Aaivity Sen-ices 

No Response from Agency 

Rule Returned to Agency 
10 NCAC 3H .2802 - Social Services 

No Response from Agency 

Rule Returned to Agency 
10 NCAC 3H .3002 - Quality of Specialized Rehabilitation Services 

No Response from Agency 

Rule Returned to Agency 
10 NCAC 3H .3003 - Ventilator Dependence 

No Response from Agency 

Rule Returned to Agency 
10 NCAC 3H .3004 - Brain Injury Long-Term Care 

No Response from Agency 

Agency Revised Rule 
10 NCAC 3H .3005 - Special Nursing Req. for Brain Injury Long-Term Care 

No Response from Agency 

Agency Revised Rule 
10 NCAC 3H .3011 - HTV Designated Unit Policies and Procedures 

No Response from Agency 

Rule Returned to Agency 
10 NCAC 3H .3012 - Physician Services in an HTV Designated Unit 

No Response from Agency 

Rule Returned to Agency 
10 NCAC 3H .3013 - Special Nursing Requirements for an HTV Designated Unit 

No Response from Agency 

Rule Returned to Agency 
10 NCAC 3H .3015 - Use of Investigational Drugs for HTV Designated Units 

No Response from Agency 

Rule Returned to Agency 
10 NCAC 3H .3016 - Additional Social Work Req. for HTV Designated Units 

No Response from Agency 

Rule Returned to Agency 
10 NCAC 3H .3021- Physician Req. for Inpatient Rehab. Facilities or Units 

No Response from Agency 

Rule Returned to Agency 
10 NCAC 3H .3027 - Comprehensive Inpatient Rehab. Program Staffing Req. 

No Response from Agency 

Rule Returned to Agency 
10 NCAC 3H .3031 - Additional Req. for Spinal Cord Injury Patients 

No Response from Agency 

Rule Returned to Agency 
10 XC.iC 3H .3103 - Site 

No Response from Agency 

Agency Revised Rule 
10 NCAC 3H .3201 - Required Spaces 

No Response from Agency 

Agency Revised Rule 
10 NCAC 3H .3401 - Heating and Air Conditioning 

No Response from Agency 

Agency Revised Rule 
10 NCAC 3H .3404 - Other 

No Response from Agency 

Agency Rex'ised Rule 



Obj. 


Cont 'd 


09/21/95 


Obj. 


Cont 'd 


10/18/95 


RRC 


Objeaion 


07/13/95 


Obj. 


Cont 'd 


09/21/95 
10/18/95 


RRC 


Objection 


07/13/95 


Obj. 


Com 'd 


09/21/95 
10/18/95 


RRC 


Objection 


07/13/95 


Obj. 


Cont 'd 


09/21/95 
10/18/95 


RRC 


Objection 


07/13/95 


Obj. 


Cont 'd 


09/21/95 
10/18/95 


RRC 


Objection 


07/13/95 


Obj. 


Cont'd 


09/21/95 


Obj. 


Cont 'd 


10/18/95 


RRC 


Objeaion 


07/13/95 


Obj. 


Cont'd 


09/21/95 


Obj. 


Cont 'd 


10/18/95 


RRC 


Objection 


07/13/95 


Obj. 


Cont 'd 


09/21/95 
10/18/95 


RRC 


Objeaion 


07/13/95 


Obj. 


Cont 'd 


09/21/95 
10/18/95 


RRC 


Objeaion 


07/13/95 


Obj. 


Cont'd 


09/21/95 
10/18/95 


RRC 


Objeaion 


07/13/95 


Obj. 


Cont'd 


09/21/95 
10/18/95 


RRC 


Objection 


07/13/95 


Obj. 


Cont 'd 


09/21/95 
10/18/95 


RRC 


Objeaion 


07/13/95 


Obj. 


Cont'd 


09/21/95 
10/18/95 


RRC 


Objeaion 


07/13/95 


Obj. 


Cont 'd 


09/21/95 
10/18/95 


RRC 


Objeaion 


07/13/95 


Obj. 


Cont 'd 


09/21/95 
10/18/95 


RRC 


Objeaion 


07/13/95 


Obj. 


Cont 'd 


09/21/95 


Obj. 


Removed 


10/18/95 


RRC 


Objeaion 


07/13/95 


Obj. 


Cont'd 


09/21/95 


Obj. 


Removed 


10/18/95 


RRC 


Objection 


07/13/95 


Obj. 


Cont'd 


09/21/95 


Obj. 


Removed 


10/18/95 


RRC 


Objection 


07/13/95 


Obj. 


Cont 'd 


09/21/95 


Obj. 


Removed 


10/18/95 



2178 



NORTH CAROLINA REGISTER 



November 15, 1995 10:16C 



RRC OBJECTIONS 



RRC has Objected on 07113195 to the Following Repeals in 
10 NCAC 3C .0101 - .0102, .0104 - .0110, .0201 - .0203, 
.0701 - .0708, .0801 - .0805, .0807, .0901 - .0917, .1001 - 
.1405, .1501 - .1508, .1510, .1601 - .1606, .1701 - .1717, 
No Response from Agency 

10 NCAC 3C .1901 - .1912, .1915 - .1932, .2001 - .2008, 

No Response from Agency 

Rules Returned to Agency 
10 NCAC 3H .0108 - .0109, .0206 - .0220, .0306 - .0318, 
.0705 - .0712, .0810 - .0812, .0903 - .0911, .1003 - .1008, 
. 1210, . 1306 - . 1308, . 1405 - . 1406, . 1408 - . 1410. . 1501 ■ 

No Response from Agency 



10 NCAC 3C and 10 NCAC 3H: 

.0301 - .0307, .0401 - .0407, .0501 - .0505, .0601 - .0604, 
.1006, .1101 - .1102, .1201 - .1204, .1301 - .1303, .1401 - 
.1801 - .1805, .2101 - .2105. 

Obj. Cont'd 09/21/95 

Obj. Removed 10/18/95 

2020 -.2033 RRC Objection 07/13/95 

Obj. Cont'd 09/21/95 

10/18/95 

.0407 - .0409, .0505 - .0507, .0510 - .0517, .0605 - .0609, 

.1105 - .1109, .1130- .1136, .1150- .1163, .1204- .1208, 

.1503, .1612 - .1613, .1703 - .1704, .1804 - .1807. 

Obj. Cont'd 09/21/95 

Obj. Removed 10/18/95 



Medical Assistance 

10 NCAC 261 .0101 - Purpose and Scope 

10 NCAC 261 .0102 - Requests for Formal and Informal Appeals 

10 NCAC 261 .0103 - Time Limits on Requests for Recipient /Applicant Informal Appeals 
10 NCAC 261 .0106 - Payment Pending Appeals 
10 NCAC 261 .0107 - Dismissal of Appeal 
Agency Revised Rule 

LICENSING BOARDS AND COMMISSIONS 



RRC 


' Objection 


10/18/95 


RRC 


' Objection 


10/18/95 


RRC 


' Objection 


10/18/95 


RRC 


' Objection 


10/18/95 


RRC 


' Objection 


10/18/95 


Obj. 


Removed 


10/18/95 



Board of Medical Examiners 

21 NCAC 32H .0506 - Certification Requirement: Emergency Medical Dispatcher RRC Objection 08/10/95 

Agency Revised Rule Obj. Removed 09/21/95 

21 NCAC 32N .0002 - Continuances RRC Objection 08/10/95 

Agency Responded - Agency Will Not Revise Rule Obj. Cont'd 09/21/95 



Board of Pharmacy 

21 NCAC 46 .2601 - Dispensing and Delivery 
Agency Revised Rule 
Agency Revised Rule 

Board of Physical Therapy Examiners 



RRC Objection 
Obj. Cont'd 
Obj. Removed 



08/10/95 
08/10/95 
09/21/95 



21 NCAC 48C .0103 - Prohibited Practice 

Rule Withdrawn by Agency 
21 NCAC 48E .0110 - Foreign-Trained Physical Therapists 

Agency Revised Rule 
21 NCAC 48G .0514 - Continuances 

Agency Revised Rule 
21 NCAC 48H .0703 - Hearings 

Agency Revised Rule 



RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 



09/21/95 
09/21/95 
09/21/95 
09/21/95 
09/21/95 
09/21/95 
09/21/95 



Board of Practicing Psychologists 



21 NCAC 54 .1702 - Foreign Degree Application Policy 
Agency Revised Rule 



RRC Objection 
Obj. Removed 



09/21/95 
09/21/95 



10.16C 



NORTH CAROLINA REGISTER 



November 15, 1995 2179 



RRC OBJECTIONS 



PUBLIC EDUCATION 

Elementary and Secondary Education 

16 NCAC 6D .0106 - Limited English Proficiency Programs 
Rule Withdrawn by Agency 

SECRETARY OF STATE 

Securities Division 

18 NCAC 6 . 1209 - Nonprofit Securities 

Agency Revised Rule 

Rule Returned to Agency 
18 NCAC 6 . 1314 - Escrow Agreements 

Rule Returned to Agency 
18 NCAC 6 .1401 - Application for Registration of Dealers 

Agency Revised Rule 

Rule Returned to Agency 
18 NCAC 6 . 1702 - Application for Investment Adviser Registration 

Agency Revised Rule 

Rule Returned to Agency 

STATE PERSONNEL 
Office of State Personnel 

25 NCAC IE . 1408 - Certification 

Agency Revised Rule 
25 NCAC IJ .0615 - Special Provisions 

Agency Revised Rule 



RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 



10/18/95 



RRC Objection 


08/10/95 


Obj. Cont'd 


08/10/95 




09/21/95 


RRC Objection 


08/10/95 




09/21/95 


RRC Objection 


08/10/95 


Obj. Cont'd 


08/10/95 




09/21/95 


RRC Objection 


08/10/95 


Obj. Cont'd 


08/10/95 




09/21/95 



09/21/95 
09/21/95 
09/21/95 
09/21/95 



2180 



NORTH CAROLINA REGISTER 



November 15, 1995 10:16C 



CONTESTED CASE DECISIONS 



1 his Section contains the full text of some of the more significant Administrative Law Judge decisions along with an index 
to all recent contested cases decisions which are filed under North Carolina's Administrative Procedure Act. Copies of 
the decisions listed in the index and not published are available upon request for a minimal charge by contacting the 
Office of Administrative Hearings, (919) 733-2698. 



AGENCY 



CASE 
NUMBER 



ALJ 



DATE OF 
DECISION 



PUBLISHED DECISION 
REGISTER CITATION 



ADMINISTRATION 



Division of Purchase and Contract 

Senter-Sanders Tractor Corp. v. Admin., Dlv of Purchase & Contract 94 DOA 0803 Nesnow 

CMC Maintenance Co., a Div. of RDS Corp. v. Dept. of Administration, 95 DOA 0194 Phipps 
Div. of F*urchase & Contract, et al. 



03/06/95 
06/13/95 



State Construction Office 

W. M. Piatt & Company v. State Construction Office, DOA 94 DOA 0738 Nesnow 

Holland Group, Inc. v. Dept. of Administration. St. Construction Office 94 DOA 1565 Nesnow 



04/11/95 
06/01/95 



10:03 NCR 221 
10:07 NCR 619 



ALCOHOLIC BEVERAGE CONTROL COMMISSION 



All Alsaras v Alcoholic Beverage Control Commission 
Norman D. Forbes v. Alcoholic Beverage Control Commission 
Ben Sproul and Steve Pauls v. Alcoholic Beverage Control Comm. 
Albert Stanley Tomanec v. Alcoholic Beverage Control Commission 
Robert Johnson v. Alcoholic Beverage Control Commission 
Stinking Mercury, Inc. v. Alcoholic Beverage Control Commission 
Alcoholic Beverage Control Comm. v. Depot Slop N Go, Inc. 
John H. Robinson v. Alcoholic Beverage Control Commission 
Clara and Carson Young v. Alcoholic Beverage Control Commission 
Vladimir Walter Kozlik Jr. v. Alcoholic Beverage Control Commission 
Bryan Lynn Whiiaker, Susan Ansley Whitaker v. ABC Commission 
Diamond Club, Inc. v. Alcoholic Beverage Control Commission 
Alcoholic Beverage Control Commission v- Weisner, Inc. 
Robert Louis Reese v. Alcoholic Beverage Control Commission 
Ray E. Bailey v. Alcoholic Beverage Control Commission 
Lcgwin Z. Williams v. Alcoholic Beverage Control Commission 
Taleb Abed Rahman v. Alcoholic Beverage Control Commission 
Sherrill Douglas Langston v. Alcoholic Beverage Control Commission 
Alcoholic Beverage Control Comm. v. Janice Mae Miles 
Imran Ali Hameerah v. Alcoholic Beverage Control Commission 
and 
City of Raleigh 
Ali Mohamed Ahmed v. Alcoholic Beverage Control Commission 
Alcoholic Beverage Control Commission v. Vladimir Walter Kozlik Jr. 
Mychal R. Hill v. Alcoholic Beverage Control Commission 
Alcoholic Beverage Control Comm. v. Goldstar Food, Inc. 
Collie Hawkins v. Alcoholic Beverage Control Commission 
Alcoholic Bev Cont Comm. v. Partnership, T/A Royal Kmghta Soc Club 
Alcoholic Beverage Control Commission v. Lebby Rhew Allen 
Alcoholic Beverage Control Comm. v. Nancy Wheeler Wolfe 
John Edsel Rhodes v. Alcoholic Beverage Control Commission 



94 ABC 0526 


Chess 


05/16/95 






94 ABC 0787 


Gray 


03/17/95 






94 ABC 1046 


Chess 


08/17/95 






94 ABC 1168 


Becton 


03/07/95 






94 ABC 1661 


West 


05/01/95 






94 ABC 1682 


Chess 


05/03/95 






94 ABC 1694 


Mann 


03/29/95 






94 ABC 1727 


Morrison 


05/18/95 






94 ABC 1729 


Chess 


05/11/95 






94 ABC 1754*'' 


Mann 


08/02/95 


10:11 NCR 


960 


94 ABC 1784 


Mann 


04/19/95 






94 ABC 1803 


Mann 


04/07/95 






95 ABC 0068 


West 


06/07/95 






95 ABC 0074 


Chess 


05/25/95 






95 ABC 0210 


Gray 


05/01/95 






95 ABC 0224 


Nesnow 


05/31/95 


10:06 NCR 


417 


95 ABC 0323 


Phipps 


08/02/95 






95 ABC 0415 


Nesnow 


08/01/95 


10:10 NCR 


868 


95 ABC 0434 


West 


07/20/95 






95 ABC 0477 


Phipps 


07/14/95 






95 ABC 0487 


Gray 


10/03/95 






95 ABC 0518*1= 


Mann 


08/02/95 


10:11 NCR 


960 


95 ABC 0617 


Morrison 


09/08/95 






95 ABC 0678 


Gray 


10/30/95 






95 ABC 0696 


Gray 


10/06/95 






95 ABC 0711 


Phipps 


09/14/95 






95 ABC 0712 


Gray 


10/04/95 






95 ABC 0713 


Phipps 


09/14/95 






95 ABC 0792 


Nesnow 


10/25/95 







BOARD OF CHIROPRACTIC EXAMINERS 



Robert J. Manna, D.C. v. Board of Chiropractic Examiners 
CRDVIE CONTROL AND PUBLIC SAFETY 

Patrick O, Hawkins v. Office of Administrative Hearings 



95 BOC 1105 West 



95 CPS 0361 



Phipps 



10/20/95 



08/01/95 



10:16C 



NORTH CAROLINA REGISTER 



November 15, 1995 2181 



CONTESTED CASE DECISIONS 



AGENCY 



CASE 
NUMBER 



AU 



DATE OF 
DECISION 



PUBLISHED DECISION 
REGISTER CITATION 



Crime Victims Compensation Commission 

John Pavlikianidis v. Victims Compensation Commission 

Fay, Cynthia, S. Dalton v. Crime Victims Compensation Commission 

Phyllis H. Steinmetz v. Crime Victims Compensation Commission 

Hubert Johnson, Edna J. Carter v. Crime Victims Compensation Comm. 

Wayne L. Ulley v. Crime Victims Compensation Commission 

Sandra H. Hughes v. Victims Compensation Commission 

Kristine S. Ray v. Crime Victims Compensation Commission 

Shirley Moody Myers v. Crime Victims Compensation Commission 

Thomasine Inman v. Crime Victims Compensation Commission 

Irmgard Gordos v. Crime Victims Compensation Commission 

Fay, Cynthia, S. Dalton v. Crime Victims Compensation Commission 

Ellen Sherwin v. Crime Vic Comp James Byrum Emp/ Baptist Hosp 

Anthony Harold Stone v. Crime Victims Compensation Commission 

Howard B. Peterson v. Crime Victims Compensation Commission 

Ella Ruth Jordan v. Gary B. Eichelberger Dir., Crime Vic. Comp. Comm. 

Lynn H. Henderson v. CPS, Victims Compensation Commission 

Larusha Bey v. Crime Victims Compensation Commission 

Percible Gaston v. Crime Victims Compensation Commission 

Horton Edward v. Crime Victims Compensation Commission 

David Leo Rice v. CPS, Crime Victims Compensation Commission 

Janet Ring Stevens v. Crime Victims Compensation Commission 

Michael A. Herd v. Crime Victims Compensation Commission 

Juan Aguilar v. Crime Victims Compensation Commission 

Albert Lionell Meadows v. Crime Victims Compensation Commission 

John Kuwalik v. Crime Victims Compensation Commission 

Sandra Jones v. Crime Victims Compensation Commission 

Edsel Balls Jr. v. CPS, Crime Victims Compensation Commission 

James T. Todd v. Crime Victims Compensation Commission 

Mark Edward Allman v. CPS, Crime Victims Compensation Commission 

Fred McMillan v. Victims Compensation Commission 

Brandi Faith Blalock, Dorothy Smith Blalock v. Crime Vic Comp Comm. 

Roland Lee Kelly, Jr. v. United Family Svcs, Vic Assis/Crime Vic. Comp 

Diane B. Commander v. Crime Victims Compensation Commission 

Danny Ray Bell v. Crime Victims Compensation Commission 

Margie Lunsford v. Crime Victims Compensation Commission 

Jill M. LaSanta v. Crime Victims Compensation Commission 



94 CPS 0237 


Morrison 


03/21/95 


10:02 NCR 176 


94 CPS 0445** 


West 


05/30/95 




94 CPS 0542 


West 


05/16/95 




94 CPS 1177 


Mann 


06/12/95 




94 CPS 1180 


Becton 


03/07/95 




94 CPS 1600 


Morrison 


06/09/95 




94 CPS 1673 


Chess 


04/20/95 




94 CPS 1674 


Chess 


04/20/95 




94 CPS 1731 


Nesnow 


03/09/95 




94 CPS 1782 


Gray 


03/09/95 




95 CPS 00 lO** 


West 


05/30/95 




95 CPS 0012 


West 


03/22/95 




95 CPS 0115 


Chess 


08/22/95 




95 CPS 0163 


Reilly 


07/06/95 




95 CPS 0181 


West 


06/21/95 




95 CPS 0212 


Morrison 


05/08/95 




95 CPS 0245 


Reilly 


06/02/95 




95 CPS 0270 


Gray 


06/13/95 




95 CPS 0331 


Phipps 


07/25/95 




95 CPS 0335 


Morrison 


09/15/95 




95 CPS 0337 


Gray 


07/21/95 




95 CPS 0349 


Chess 


08/15/95 




95 CPS 0356 


Reilly 


06/22/95 




95 CPS 0373 


Gray 


09/27/95 




95 CPS 0381 


Becton 


07/10/95 




95 CPS 0427 


Nesnow 


06/02/95 




95 CPS 0456 


Phipps 


09/29/95 




95 CPS 0459 


Nesnow 


09/26/95 


10:15 NCR 1624 


95 CPS 0461 


West 


07/25/95 




95 CPS 0481 


Phipps 


10/12/95 




95 CPS 0540 


Phipps 


10/10/95 


10:15 NCR 1628 


95 CPS 0568 


Phipps 


08/09/95 




95 CPS 0591 


Nesnow 


10/19/95 




95 CPS 0737 


Reilly 


09/11/95 




95 CPS 0779 


Becton 


09/19/95 




95 CPS 1029 


Reilly 


10/25/95 





i 



i 



BOARD OF ELECTROLYSIS EXAMINERS 



Diane Rawls v. North Carolina Board of Electrolysis Examiners 
ENVIRONMENT. HEALTH. AND NATURAL RESOURCES 



95 BEE 0173 West 



08/03/95 



Concrete Supply Company v. Environment, Health, & Natural Resources 94 EHR 0950 

Setzer Bros. Inc. v. Environment, Health, and Natural Resources 94 EHR 1676 

Environment, Health, & Natural Resources v. Royal James Cafe 94 EHR 1756 

John W. VanHoy, Jr. & Adjacent Land Owners v. EHNR 95 EHR 0016 

and 

Shugart Enterprises, Inc. 

Browning-Ferris Ind. of S, 

V. Dept. of Environment 

and 

Hoke County and Bladen County 



Atlantic, Inc. and Sampson Cty. Disposal, Inc. 95 EHR 0506 
Health, and Natural Resources, 



Gray 


05/23/95 


10:06 NCR 414 


Nefinow 


03/09/95 




Becton 


06/30/95 


10:08 NCR 696 


Phipps 


03/17/95 




West 


06/13/95 





Carteret County Healih Department 

Elmer & Pandora Edwards v. Carteret County Health Department 

Coastal Resources 



95 EHR 0075 Nesnow 



10/24/95 



William C. Young v. Coastal Resources Commission 
and 
Robert L. Casper, Jr. and Mary M. Casper 
Howard C. Slack v. Coastal Resources Comm, EHNR 



95 EHR 0009 



95 EHR 0140 



Chess 



Phipps 



06/13/95 



03/22/95 



10:02 NCR 185 



I 



2182 



NORTH CAROLINA REGISTER 



November 15, 1995 10:16C 



CONTESTED CASE DECISIONS 



AGENCY 



CASE 
NUMBER 



ALJ 



DATE OF 
DECISION 



PUBLISHED DECISION 
REGISTER CITATION 



Chess 



Chess 



91 EHR 1179*' 


West 


05/30/95 


92 EHR 002 !•' 


Gray 


04/03/95 


92 EHR 0053*' 


Gray 


04/03/95 


93 EHR 0273*^ 


West 


05/30/95 


94 EHR 0894 


Nesnow 


05/08/95 


94 EHR 1755 


West 


06/06/95 



Davidson County Beatth Department 

John Dee Clcxifelter v. Davidson County Health Dept.; EHNR 94 EHR 1037 

Environmental Health 

BPP- 777 Lay Drain Compnay, Inc. v. On-Site Wastewater Section, 94 EHR 0745 

Division of Environmental Health 



Environmental Management 

United Screen Printers, Inc. v. EHNR, Div. of Environmental Mgmt. 
Empire Power Co. and George Clark v. EHNR, Div. of Env. Mgmt. 
and 

Duke Power Company 
Empire Power Co. and George Clark v. EHNR, Div. of Env. Mgmt. 
and 

Duke Power Company 
United Screen Printers, Inc. v. EHNR, Div. of Environmental Mgmt. 
Kenan Oil Company, Inc. v. EHNR, Div. of Environmental Mgmt. 
Moffm and Pierce Construction, Inc. v. EHNR, Environmental Mgmt. 



Division of Epidemiology 

Mark Bryant Stocksdale & Wife, Cathie v. EHNR, Div. of Epidemiology 95 EHR 0059 Reilly 

Hyde County Health Department 

Fritzner Henry v. Hyde County Health Department 94 EHR 0924 Gray 

Macon County Health Department 

Four Residents on Genva Circle v. Macon County Health Department 94 EHR 1202 Nesnow 

Marine Fisheries 

Chancy Junior Sawyer v. EHNR, Division of Marine Fisheries 94 EHR 1786 Chess 

Maternal and Child Health 



Jimmy Franklin v. EHNR Maternal & Child Hlth, Nutrition Services 

Middlehurg Variety v. EHNR, Maternal &. Child Health, Nutrition Svcs. 

Taisser Shehadeh v. EHNR, Maternal & Child Health, Nutrition Svcs. 

Philip Haskins v. EHNR, Div. of Maternal & Child Health 

Food City, Inc. v. Dept of Environment, Health, & Natural Resources 

Cameron Brian White v. EHNR, Maternal & Child Health, Nutrition Svcs 

Barbara R. Amer d/b/a 311 Grocery Store v. EHNR 

Sameer Mohammed Dari v. EHNR, Maternal & Child Health, Nutn Svcs. 

Goldston Grocery, Larry Mis v. EHNR, Div. of Maternal & Child Health 

Barbara R. Amer d/b/a 311 Grocery Store v. EHNR 

Donnie Blalock v. EHNR, Maternal & Child Health, Nutrition Svcs. 



A'cH" Hanover County Health Department 

Gus Kalogiros v. New Hanover Co. (Health Dept.), Adm & Env. Svcs 94 EHR 1073 
Pitt County PubHc Health Center 



Mary Joyner Dudley v. Pitt County Public Health Center & EHNR 
Tony P. Moore v. EHNR, & Pitt County Public Health Center 

Division of SoUd Waste Management 

Cherokee Resources Inc. v. EHNR, Div. of Solid Waste Management 



94 EHR 1043 

95 EHR 0537 



92 EHR 1028 



Morrison 



Gray 
Reilly 



Phipps 



03/13/95 



04/24/95 



10/30/95 



03/09/95 



03/27/95 



05/22/95 



94 EHR 0288 


Gray 


05/22/95 


94 EHR 1601 


Chess 


05/01/95 


94 EHR 1711 


Chess 


05/02/95 


94 EHR 1777 


Chess 


03/09/95 


95 EHR 0372 


Reilly 


08/10/95 


95 EHR 0687 


Nesnow 


10/19/95 


95 EHR 0706*'' 


Reilly 


10/23/95 


95 EHR 0853 


Gray 


10/10/95 


95 EHR 0869 


Becton 


09/13/95 


95 EHR 0874*" 


Reilly 


10/23/95 


95 EHR 0892 


Gray 


09/14/95 



04/28/95 



06/27/95 
10/09/95 



09/29/95 



10:14 NCR 1410 



* Consolidated cases. 



10:16C 



NORTH CAROLINA REGISTER 



November 15, 1995 2183 



CONTESTED CASE DECISIONS 



AGENCY 



CASE 
NUMBER 



AU 



Joyce Hildrcth V. EHNR, Division of Solid Waste Managemeol 95 EHR 0851 Morrison 

Wayne County Dtpartment of Health 

Hahib Abdallah v. Wayne County Department of Health (WIC Program) 95 EHR 0864 Phipps 

EQUAL EMPLOYMENT OPPORTUNITY 

Marsha Dianne MeKoy v. DHR, Div. of MH/DD/SAS, Caswell Center 90 EEO 0379 Chess 

HUMAN RESOURCES 



Veronica Spearman, John P. Spearman v. Dept, of Human Resources 
Sandra Jean Taylor v. Department of Human Resources 
Claudia Toriola v. Department of Human Resources 

Division of ChiU Development 

lola Malloy v. DHR, Division of Child Development 

Helen } Walls, D/B/A Walls Young World v. Dept. of Human Resources 

Samuel Simmons & Wife, Alphia Mack Simmons v. Human Resources 

Willie & Pamela Sturgcss v. DHR, Division of Child Development 

Esther Elder v DHR, Division of Child Development 

Theresa B- Thomas v. DHR, Division of Child Development 

Ellen H. Sams v. DHR, Division of Child Development 

Dixie Jenkins v. DHR, Division of Child Dev., Elizabeth Alexander 

Hill Street Day Care Center v. DHR, Division of Child Development 

Chapel Hill Day Care Center, Nancy Taylor v. DHR, Div, of Child Dev. 

Division of Facility Services 

William H. Cooke v. DHR, Division of Facility Services 

Mildred Reece, Calvin Reece v. DHR, Division of Facility Services 

Domiciliary & Group Care Section 
Lisa Marie Shanks v. Department of Human Resources 
Brenda I McAllister v, DHR, Division of Facility Services 
Henry Brown, Sr. v. Department of Human Resources 

Bingo Licensure Section 



95 DHR 0216 Reilly 
95 DHR 0366 Reilly 
95 DHR 0507 West 



94 DHR 0849 


Mann 


94 DHR 1362 


Becton 


94 DHR 1617 


Gray 


94 DHR 1631 


Reilly 


94 DHR 1771 


Reilly 


95 DHR 0268 


Morrison 


95 DHR 0293 


Phipps 


95 DHR 0315 


West 


95 DHR 0407 


Chess 


95 DHR 0450 


Phipps 



94 DHR 0565 


Gray 


94 DHR 1783 


Gray 


95 DHR 0121 


West 


95 DHR 0149 


West 


95 DHR 0526 


Becton 



The Regular Veterans Association of the United States and the Sixteen 
Posts of the Regular Veterans Association of the United States and the 
Regular Veterans Association Auxiliary Located in the State of North 
Carolina v. DHR, Division of Facility Services, Bingo Licensure Section 



95 DHR 0040 Momson 



Certificate of Seed Section 



Inc. and Highland House of Fayetteville, 
V. DHR, Division of Facility Services, 



94 DHR 0197*2 Reilly 



The Carrolton of Fayettevil 

Inc. and Richard Allen, Si. 

Certificate of Need Se*;tion 
and 

Pine Manor Rest Home, Inc., d/b/a Pine Manor Health Care 
The Carrolton of Fayetteville, Inc. and Highland House of Fayetteville, 94 DHR 0198*^ Reilly 

Inc. and Richard Allen, Sr. v. DHR, Division of Facility Services, 

Certificate of Need Section 
and 

Pine Manor Rest Home, Inc., d/b/a Pine Manor Health Care 
Retirement Villages, Inc. (Lessorl, and Liberty Healthcare Ltd. 94 DHR 0403 Chess 

Partnership (Lessee) D/B/A Countryside Villa of Duplin v. DHR, 

Division of Facility Services, Certificate of Need Section 
and 

Beaver Properties/Wallace, Inc., and Brian Center Health & Retirement/ 

Wallace, Inc. 
Gordon G. Koltis, M.D., Carolina Radiation & Cancer Treatment Center, 94 DHR 1820 Chess 

P. A., and Carolina Radiation Medicine, P. A. v. DHR, Div. of Facility 

Ser^'ices, Certificate of Need Section, 
and 

Pitt County Memorial Hospital, Inc. 



DATE OF 
DECISION 



09/13/95 



09/27/95 



04/03/95 



06/02/95 
07/19/95 
10/18/95 



03/03/95 
03/20/95 
09/13/95 
07/10/95 
03/17/95 
07/14/95 
08/08/95 
08/25/95 
10/13/95 
06/02/95 



03/16/95 
03/16/95 

08/03/95 
09/11/95 
10/05/95 



04/13/95 



PUBLISHED DECISION 
REGISTER CITATION 



04/05/95 



04/05/95 



12/14/94 



09/25/95 



I 



10:13 NCR 1205 



< 



I 



2184 



NORTH CAROLINA REGISTER 



November 15, 1995 10:16C 



CONTESTED CASE DECISIONS 



AGENCY 



CASE 
NUMBER 



ALJ 



DATE OF 
DECISION 



PUBLISHED DECISION 
REGISTER CITATION 



Office of Emergency Medical Services 
CharlM M. Erwin v. DHR, Facility Svcb, Off. of Emgcy. Medical Svcs. 92 DHR 1697 Chess 
Division of Medical Facilities Licensure Section 



Shelia Marie Hall v. DHR, Div/Facility Svcb., Med. Facilities Lie. Sec. 95 DHR 0307 
Joe Junior Bailey v. DHR, Div/Facility Svcs., Med. Facilities Lie. Sec. 95 DHR 0322 
Evangeline of King, Inc. v. DHR, Div/pac Svcs, Med. Facilities Lie. See. 95 DHR 0413 
Nicole Murphy v. DHR, Div/Facility Svcs, Med. Facilities Lie. Sec. 95 DHR 0863 



05/16/95 



10:06 NCR 409 



Nesnow 


08/11/95 


Becton 


09/13/95 


Reilly 


08/14/95 


Becton 


10/20/95 



Division of Medical Assistance 



A.S. 



93 DHR 1736 Reilly 
93 DHR 1737 Reilly 



94 DHR 1627 


Moirison 


07/06/95 


95 DHR 0448 


Nesnow 


10/24/95 


95 DHR 0488 


Phipps 


10/31/95 



, by and through her agent and personal representative, Hank Neal 

V. DHR, Division of Medical Assistance 
D.A., by and through his agent and personal representative, Hank Neal 

V. DHR, Division of Medical Assistance 
Stephen K., & Christopher &. Katina Komorek v. DHR. Med Assistance 94 DHR 1170 Reilly 



Division of Social Services 

Cecilia Y. Wall, William S- Wall v. Department of Human Resources 

Sandra M. Hawkins v. DHR, Division of Social Services 

Robert A. Byers, Sharon L. Byers v. DHR, Div. of Social Services 

ChiUi Support Enforcement Section 

Daniel J. Carter v. Department of Human Resources 
Shawn Dominic Caldwell v. Department of Human Resources 
William Zonta Thompson v Department of Human Resources 
Jackie E. Hackney v. Department of Human Resources 
Lenzo Davis v. Department of Human Resources 
Frank M. Swett v. Department of Human Resources 
Elbert Quick v. Department of Human Resources 
Dennis E. Barkley v. Department of Human Resources 
Clement McMillan v. Department of Human Resources 
Herbert James Jackson ID v. Department of Human Resources 
Larry James Walker Jr. v. Department of Human Resources 
James R. Gray v. Department of Human Resources 
Manuel F. Isla v. Department of Human Resources 
John D. Bird v. Department of Human Resources 
Lacy Green, Jr. v. Department of Human Resources 
Leon McNair v. Department of Human Resources 
Edwin A. Clarke v. Department of Human Resources 
Wolfgang R. Walker v. Department of Human Resources 
Wyatt Roseboro v. Department of Human Resources 
Lloyd Lane Speake v. Department of Human Resources 
Raymond E. Dresser v. Department of Human Resources 
Terry L. Yoder v. Department of Human Resources 
Ronald E. Lewis v. Department of Human Resources 
Richard L. Hiott v. Department of Human Resources 
Cecil Ray Hinshaw v. Department of Human Resources 
Terry C. Brown v. Department of Human Resources 
Paul R. Johnson v. Department of Human Resources 
Henry C. Banks v. Department of Human Resources 
Lucille B. Dutter v. Department of Human Resources 
Charles Bascom Kiker v. Department of Human Resources 
Mandel Curry Edwards v. Department of Human Resources 
Tony M. Tart v. Department of Human Resources 
Wade E. Hampton v. Department of Human Resources 
Cecedrick Scott v. Department of Human Resources 
Gary Jay Slocks v. Department of Human Resources 
Paul E. Strawcutter v. Department of Human Resources 
John L- Osborne (Jr.) v. Department of Human Resources 
Richard L. Garver v. Department of Human Resources 
Jerry Glasper v. Department of Human Resources 
Cary G. Dannelly v. Department of Human Resources 
Robert G. Baker v. Department of Human Resources 



05/22/95 
05/22/95 
10/18/95 



91 CSE 


1103 


Morrison 


03/03/95 


92 CSE 


1449 


Reilly 


03/29/95 


92 CSE 


1559 


Reilly 


03/29/95 


93 CSE 


1088 


Chess 


03/20/95 


93 CSE 


1111 


Becton 


07/12/95 


93 CSE 


1123*5 


Reilly 


05/16/95 


93 CSE 


1169 


Chess 


03/08/95 


93 CSE 


1187 


ReiUy 


06/30/95 


93 CSE 


1208 


Chess 


03/08/95 


93 CSE 


1209 


Mann 


08/11/95 


93 CSE 


1255 


Morrison 


06/12/95 


93 CSE 


1268 


Chess 


03/08/95 


93 CSE 


1270*'° 


Becton 


07/28/95 


93 CSE 


1272 


Gray 


06/26/95 


93 CSE 


1295 


Chess 


03/08/95 


93 CSE 


1317 


Becton 


04/04/95 


93 CSE 


1319 


Chess 


03/08/95 


93 CSE 


1374 


Gray 


04/28/95 


93 CSE 


1423 


Becton 


04/25/95 


93 CSE 


1451 


Chess 


03/22/95 


93 CSE 


1459 


Reilly 


06/23/95 


93 CSE 


1498 


Nesnow 


06/02/95 


93 CSE 


1508 


Mann 


05/18/95 


93 CSE 


1509 


Mann 


04/21/95 


93 CSE 


1513 


Gray 


05/08/95 


93 CSE 


1516 


Morrison 


05/08/95 


93 CSE 


1546 


Gray 


06/27/95 


93 CSE 


1556 


Chess 


03/22/95 


93 CSE 


1558 


Chess 


03/13/95 


93 CSE 


1561 


Mann 


04/21/95 


93 CSE 1566*' 


Gray 


05/31/95 


93 CSE 


1588 


Becton 


06/08/95 


93 CSE 


1593 


Chess 


04/20/95 


93 CSE 


1651 


Chess 


07/20/95 


93 CSE 


1652 


Chess 


03/21/95 


93 CSE 


1713 


Mann 


03/13/95 


94 CSE 0140 


Mann 


05/30/95 


94 CSE 0512 


Becton 


06/12/95 


94 CSE 


1016 


Nesnow 


07/21/95 


94 CSE 


1033 


Nesnow 


03/24/95 


94 CSE 


1094 


Chess 


03/06/95 



10:16C 



NORTH CAROLINA REGISTER 



November 15, 1995 2185 



CONTESTED CASE DECISIONS 



AGENCY 



Tyrone Waddell v. Department of Human Resources 

Robert R. Thomas v. Department of Human Resources 

Bernard T. Wade v. Department of Human Resources 

Robert Earl While v. Department of Human Resources 

Willie Scott v. Department of Human Resources 

Rochester Levi Jones v. Department of Human Resources 

Timothy Brian EUer v, Department of Human Resources 

Margin Masscy v. Department of Human Resources 

Morgan Pate, Jr. v. Department of Human Resources 

Robert E. Dudley, Sr. v. Department of Human Resources 

Julian Laitimore v. Department of Human Resources 

James McFadden v. Department of Human Resources 

Wesley B. Meggs v. Department of Human Resources 

Anthony D. McCain v. Department of Human Resources 

John C. Kay v. Department of Human Resources 

Raymond B. Clont/ Jr. v. Department of Human Resources 

James C. Rogers v. Department of Human Resources 

Ruby Fewell Henry v. Department of Human Resources 

Michael Leon McCain v. Department of Human Resources 

James A. Honer v. Department of Human Resources 

George C. Flowers v. Department of Human Resources 

Kendrick William Sims v. Department of Human Resources 

Carl E. Coffey v. Department of Human Resources 

Michael W. Bo wen v. Department of Human Resources 

Roderick J. Smith v. Department of Human Resources 

Richard Dill v. Department of Human Resources 

James E. Freeman v. Department of Human Resources 

Jonathan D Cauthen v. Department of Human Resources 

Ronnie J. Coins v. Department of Human Resources 

Ted C. Jenkins v. Department of Human Resources 

Anthony J. Gibbons v. Department of Human Resources 

Robert Wilson v. Department of Human Resources 

Grant Jules Marks v. Department of Human Resources 

Aaron C. Harris v. Department o{ Human Resources 

Donald L. Costello Sr. v Department of Human Resources 

Kelvin L. Lankford v. Department of Human Resources 

Jeffrey Thomas Chambers v. Department of Human Resources 

Robert J. Holden v. Department of Human Resources 

Janet M. Johnson v. Department of Human Resources 

Michael L. Wright v. Department of Human Resources 

Terry S, Gurganus v Department of Human Resources 

John Napoleon Window Cross Pullium v. Dept of Human Resources 

Charles F. Haag Jr. v. Department of Human Resources 

Michael J. Montroy v. Department of Human Resources 

Linton Durante v. Department of Human Resources 

Timothy Rex Waddell v. Department of Human Resources 

Clarence Benjamin Banks Jr. v. Department of Human Resources 

Warren M. Williams v. Department of Human Resources 

Dennis L. Moore v. Department of Human Resources 

Dennis W. Cashion v. Department of Human Resources 

John Carroll Rodgers v. Department of Human Resources 

James Edward Knox, Jr. v. Department of Human Resources 

Kimberly M. Rinaldi, Robert L. Rinaldi v. Dept. of Human Resources 

David House v. Department of Human Resources 

Jerry Wayne Blanton v. Department of Human Resources 

Antonio Staion v. Department of Human Resources 

Aqustin S. Sanchez v. Department of Human Resources 

Fred Carter Jr. v. Department of Human Resources 

Ricky RatlifT v. Department of Human Resources 

W'illie McNeil Jr. v. Department of Human Resources 

Ray Douglas Brickhouse v. Department of Human Resources 

Tyron G. Moore v. Department of Human Resources 

Paul A. Card v. Department of Human Resources 

James P. Barton. Ill v. Department of Human Resources 

Darrin Yancey v. Department of Human Resources 

Douglas L. Lucas v. Department of Human Resources 

Gregory D. Simpson v. Department of Human Resources 

Lewis A. Garris v. Department of Human Resources 



CASE 




DATE OF 


NUMBER 


Al-J 


DECISION 


94CSE 


1096 


Mann 


05/30/95 


94 CSE 1100 


Beclon 


07/28/95 


94 CSE 


1101 


Btx-ton 


04/03/95 


94 CSE 


1102 


Chess 


08/08/95 


94 CSE 


1109 


Chess 


06/28/95 


94 CSE 


1116 


Chess 


05/15/95 


94 CSE 


1119 


Rcilly 


03/29/95 


94 CSE 


1125 


Mann 


10/09/95 


94 CSE 


1127 


Mann 


03/20/95 


94 CSE 


1128 


Mann 


03/31/95 


94 CSE 


1131 


Reilly 


03/13/95 


94 CSE 


1132 


West 


03/14/95 


94 CSE 


1137 


Gray 


08/09/95 


94 CSE 


1141 


Nesnow 


05/16/95 


94 CSE 


1143 


Chess 


04/13/95 


94 CSE 


1149 


Nesnow 


03/03/95 


94 CSE 


1153 


Gray 


04/04/95 


94 CSE 


1157 


Nesnow 


03/16/95 


94 CSE 


1158 


Becton 


05/16/95 


94 CSE 


1160 


Mann 


08/03/95 


94 CSE 


1184 


Mann 


05/02/95 


94 CSE 


1186 


Chess 


05/01/95 


94 CSE 


1191 


West 


05/25/95 


94 CSE 


1192 


Nesnow 


07/21/95 


94 CSE 


1193 


Becton 


06/26/95 


94 CSE 


1195 


Mann 


03/29/95 


94 CSE 


1199 


West 


07/18/95 


94 CSE 


1213 


Chess 


06/01/95 


94 CSE 


1214 


Chess 


06/01/95 


94 CSE 


1218 


Gray 


03/15/95 


94 CSE 


1219 


Gray 


03/15/95 


94 CSE 


1220 


Gray 


07/21/95 


94 CSE 


1222 


Morrison 


06/13/95 


94 CSE 


1225 


Reilly 


04/10/95 


94 CSE 


1228 


West 


03/17/95 


94 CSE 


1229 


West 


03/17/95 


94 CSE 


1231 


Nesnow 


03/03/95 


94 CSE 


1232 


Nesnow 


03/15/95 


94 CSE 


1236 


Mann 


06/02/95 


94 CSE 


1237 


Gray 


03/15/95 


94 CSE 


1239 


Gray 


03/02/95 


94 CSE 


1241 


Gray 


03/15/95 


94 CSE 


1242 


Gray 


05/31/95 


94 CSE 


1244 


Morrison 


03/13/95 


94 CSE 


1245 


Morrison 


06/26/95 


94 CSE 


1245 


Morrison 


06/26/95 


94 CSE 


1247 


Morrison 


05/17/95 


94 CSE 


1248 


Morrison 


07/11/95 


94 CSE 


1249 


Morrison 


03/02/95 


94 CSE 


1250 


Morrison 


07/10/95 


94 CSE 


1251 


Reilly 


05/18/95 


94 CSE 


1254 


Reilly 


03/13/95 


94 CSE 


1255 


Reilly 


05/18/95 


94 CSE 


1256 


Reilly 


03/15/95 


94 CSE 


1257 


Reilly 


08/11/95 


94 CSE 


1258 


West 


07/21/95 


94 CSE 


1259 


West 


03/06/95 


94 CSE 


1260 


West 


05/22/95 


94 CSE 


1261 


West 


03/17/95 


94 CSE 


1262 


West 


03/17/95 


94 CSE 


1263 


West 


03/17/95 


94 CSE 


1264 


West 


03/17/95 


94 CSE 


1266 


Nesnow 


03/13/95 


94 CSE 


1267 


Nesnow 


06/02/95 


94 CSE 


1269 


Nesnow 


03/15/95 


94 CSE 


1270 


Nesnow 


03/15/95 


94 CSE 


1272 


Beelon 


03/15/95 


94 CSE 


1273 


Becton 


07/28/95 



PUBLISHED DECISION 
REGISTER CITATION 



2186 



NORTH CAROLINA REGISTER 



November 15, 1995 10:16C 



CONTESTED CASE DECISIONS 



AGENCY 



Michael Lynn Avery v. Department of Human Resources 

Elvis M. Graham v. Department of Human Resources 

Shawn Fonville v. Department of Human Resources 

David Allan Blan v. Department of Human Resources 

James Lee, Jr. v. Department of Human Resources 

Noah L. Houston, Sr. v. Department of Human Resources 

Wilma Lee Burton v. Department of Human Resources 

Shannon Vanderaa v. Department of Human Resources 

Anthony Murray v. Department of Human Resources 

Carl J. McGuire v. Department of Human Resources 

Tommy L. Burchfield v. Department of Human Resources 

Virgil L. Newby v. Department of Human Resources 

Gregory A. Rodrigues v. Department of Human Resources 

Nelson D. Edmonds v. Department of Human Resources 

Larry R. Bales v. Department of Human Resources 

Karl Philip Jursen v. Department of Human Resources 

David Harrington v. Department of Human Resources 

Sterling Womack v. Department of Human Resources 

Michael L. Franks v. Department of Human Resources 

Hubert Bowe v. Department of Human Resources 

Edward Fitch v. Department of Human Resources 

Otis Lewis Jr. v. Department of Human Resources 

Robert F. Catoe Jr. v. Department of Human Resources 

William Anthony Winchester v. Department of Human Resources 

Aaron L. Clark v. Department of Human Resources 

Vincent R. Valles Sr. v. Department of Human Resources 

Gary W. Gibson v. Department of Human Resources 

Mark A. West v. Department of Human Resources 

John E. Bolas Jr. v. Department of Human Resources 

Gary C. Wiggins v. Department of Human Resources 

Rhonnie J. Williams v. Department of Human Resources 

Danny Ray Henslcy v. Department of Human Resources 

Stanley Moore v. Department of Human Resources 

Rawn Weigel v. Department of Human Resources 

David C. Glenn v. Department of Human Resources 

Marc F. Carboni v. Department of Human Resources 

Ivy M. Harvel! v. Department of Human Resources 

Terry L. McMillon v. Department of Human Resources 

Garry G. Hickman v. Department of Human Resources 

Willie Herring v. Department of Human Resources 

Joe C. Dean v. Department of Human Resources 

Jimmie E. Barnes v. Department of Human Resources 

Cecilia Carmosino v. Department of Human Resources 

Marvin F. Walker v. Department of Human Resources 

Terry L. Yoder v. Department of Human Resources 

Richard J. Almeida v. Department of Human Resources 

Gary E. Mills v. Department of Human Resources 

Michael R. French v. Department of Human Resources 

William R. Casey v. Department of Human Resources 

John A. Jackson v. Department of Human Resources 

Michael R. Roberts v. Department of Human Resources 

Kevin R. Nienke v. Department of Human Resources 

Cleothis B. Smith v. Department of Human Resources 

Leroy Johnson Jr. v. Department of Human Resources 

James Patterson v. Department of Human Resources 

Thomas Colon v. Department of Human Resources 

Walter Swirniak Jr. v. Department of Human Resources 

Michael R. Strong v. Department of Human Resources 

Marion Rodriguez v. Department of Human Resources 

Van Edward Arrington v. Department of Human Resources 

Jerry L. White Sr. v. Department of Human Resources 

Dennis James Grimes v. Department of Human Resources 

Scott John Tozzl v. Department of Human Resources 

Wylie Norris Cooper Jr. v. Department of Human Resources 

Roger A. Eaton v. Department of Human Resources 

Willie J. Flowers Jr. v. Department of Human Resources 

Jeffrey James Spence v. Department of Human Resources 

Byron C. Alston v. Department of Human Resources 



CASE 




DATE OF 


NUMBER 


ALJ 


DECISION 


94 CSE 


1274 


Becton 


03/15/95 


94 CSE 


1275 


Becton 


03/15/95 


94 CSE 


1277 


Becton 


03/06/95 


94 CSE 


1279 


Chess 


07/26/95 


94 CSE 


1280 


Chess 


04/10/95 


94 CSE 


1284 


Chess 


04/26/95 


94 CSE 


1285 


Chess 


07/12/95 


94 CSE 


1286 


Mann 


03/21/95 


94 CSE 


1287 


Mann 


03/21/95 


94 CSE 


1288 


Mann 


08/03/95 


94 CSE 


1289 


Mann 


03/21/95 


94 CSE 


1290 


Mann 


08/11/95 


94 CSE 


1300 


Mann 


03/21/95 


94 CSE 


1301 


Gray 


07/27/95 


94 CSE 


1302 


Gray 


03/02/95 


94 CSE 


1303 


Gray 


03/15/95 


94 CSE 


1304 


Morrison 


05/22/95 


94 CSE 


1305 


Morrison 


05/18/95 


94 CSE 


1307 


Gray 


09/21/95 


94 CSE 


1308 


Mann 


05/18/95 


94 CSE 


1313 


Mann 


05/02/95 


94 CSE 


1314 


Mann 


03/21/95 


94 CSE 


1329 


Morrison 


03/15/95 


94 CSE 


1331 


Reilly 


03/15/95 


94 CSE 


1332 


Reilly 


03/15/95 


94 CSE 


1333 


West 


03/17/95 


94 CSE 


1334 


West 


03/06/95 


94 CSE 


1335 


West 


03/17/95 


94 CSE 


1336 


Nesnow 


03/15/95 


94 CSE 


1338 


Ncsnow 


03/15/95 


94 CSE 


1339 


Becton 


03/15/95 


94 CSE 


1340 


Becton 


03/15/95 


94 CSE 


1341 


Becton 


07/28/95 


94 CSE 


1342 


Chess 


05/22/95 


94 CSE 


1343 


Chess 


04/20/95 


94 CSE 


1344 


Chess 


06/01/95 


94 CSE 


1345 


Mann 


03/21/95 


94 CSE 


1346 


Mann 


03/21/95 


94 CSE 


1348 


Gray 


03/15/95 


94 CSE 


1350 


Morrison 


03/02/95 


94 CSE 


1351 


Morrison 


03/15/95 


94 CSE 


1352 


Reilly 


03/03/95 


94 CSE 


1354 


West 


03/17/95 


94 CSE 


1355 


West 


03/17/95 


94 CSE 


1356 


Nesnow 


10/16/95 


94 CSE 


1357 


Nesnow 


03/15/95 


94 CSE 


1358 


Becton 


08/29/95 


94 CSE 


1359 


Becton 


03/15/95 


94 CSE 


1369 


Mann 


05/02/95 


94 CSE 


1370 


Mann 


03/07/95 


94 CSE 


1371 


Mann 


03/21/95 


94 CSE 


1372 


Gray 


07/18/95 


94 CSE 


1373 


Gray 


03/15/95 


94 CSE 


1377 


Mann 


03/31/95 


94 CSE 


1378 


Morrison 


03/15/95 


94 CSE 


1379 


Reilly 


03/15/95 


94 CSE 


1382 


West 


03/17/95 


94 CSE 


1383 


West 


07/18/95 


94 CSE 


1385 


Nesnow 


03/03/95 


94 CSE 


1386 


West 


07/18/95 


94 CSE 


1387 


Nesnow 


03/15/95 


94 CSE 


1388 


Becton 


03/15/95 


94 CSE 


1389 


Becton 


03/15/95 


94 CSE 


1391 


Mann 


08/30/95 


94 CSE 


1392 


Gray 


03/09/95 


94 CSE 


1393 


Morrison 


03/15/95 


94 CSE 


1394 


Reilly 


03/15/95 


94 CSE 


1396 


Nesnow 


03/03/95 



PUBLISHED DECISION 
REGISTER CITATION 



10:16C 



NORTH CAROLINA REGISTER 



November 15, 1995 2187 



CONTESTED CASE DECISIONS 



AGENCY 



Oliver Lee Wolfe Sr. v. Department of Human Resources 

James Tracy Strickland v. Department of Human Resources 

Michael K. Reese v. Department of Human Resources 

Albert D. Johnson v. Department of Human Resources 

Johnny A. Stroud v. Department of Human Resources 

Richard G. Medford, Jr. v. Department of Human Resources 

Theresa Strader v. Department of Human Resources 

James F. Williams v. Department of Human Resources 

John Bell Shelton v. Department of Human Resources 

Kennedy C. Uzomba v. Department of Human Resources 

Marion A. Ward v. Department of Human Resources 

Robert H. Owens v. Department of Human Resources 

Samuel A. Lewis v. Department of Human Resources 

Robert Lee Wall v Department of Human Resources 

James M. Breaden Jr. v. Department of Human Resources 

Peter G. Coley v. Department of Human Resources 

Benjamin Nuriddin v. Department of Human Resources 

Robert L. Carter v. Department of Human Resources 

Danny Columbus Baker v. Department of Human Resources 

Duke William Dupre' v. Department of Human Resources 

Audrey Jennings v. Department of Human Resources 

Robert S. Moore v. Department of Human Resources 

Michael A. Camp v. Department of Human Resources 

Martin J. Miller v. Department of Human Resources 

Steven L. Cox v. Department of Human Resources 

Michael P. Cleary v. Department of Human Resources 

Willie Cherry, Jr. v. Department of Human Resources 

Michael D. Guyther v. Department of Human Resources 

Charlie Sturdivant v. Department of Human Resources 

William V, Glennon v. Department of Human Resources 

Alasler Williams v. Department of Human Resources 

Henry L. Gibbs v. Department of Human Resources 

Roger Gene Fehlhaber v. Department of Human Resources 

Donald Ray Soils v. Department of Human Resources 

Lawrence Dow Dean v. Department of Human Resources 

Beau L. Miller v. Department of Human Resources 

Claude E. Alston v. Department of Human Resources 

Elizabeth F. West v. Department of Human Resources 

John H. Underwood v. Department of Human Resources 

James T. Dudley Jr. v. Department of Human Resources 

Cornelius L. Jones v. Department of Human Resources 

Lon Davis Humphrey v. Department of Human Resources 

Robert L. Freeland, Jr. v. Department of Human Resources 

Antonio Darden (IV-D #1237637) v. Department of Human Resources 

Antonio Darden (TV-D #1280116) v. Department of Human Resources 

Antonio Darden (TV-D #1233347) v. Department of Human Resources 

Leonard Keith Morgan v. Department of Human Resources 

Michael Shannon v. Department of Human Resources 

Scott Thackrah v. Department of Human Resources 

Cyrus R. Luallen v Department of Human Resources 

Harold Dean Horn v. Department of Human Resources 

James B. Miller v. Department of Human Resources 

Glenn Allison v. Department of Human Resources 

Louis R. Salamone v. Department of Human Resources 

Lee R. Jones v. Department of Human Resources 

Randy Norris Willis v. Department of Human Resources 

Michael E. Bellamy v. Department of Human Resources 

Eddie James Johnson v. Department of Human Resources 

Coley C. Matthews v. Department of Human Resources 

Willie J. Gadson v. Department of Human Resources 

Joseph K. Galewood v. Department of Human Resources 

Donald Lee BarclifT v. Department of Human Resources 

James W. Nunnery v. Department of Human Resources 

Terrance Freeman v. Department of Human Resources 

William Leroy Watkins v. Department of Human Resources 

Bailey White v. Department of Human Resources 

Shannon Woodall v. Department of Human Resources 

Peter Ian Oliveira v. Department of Human Resources 



CASE 




DATE OF 


NUMBER 


AU 


DECISION 


94 CSE 


1397 


Marni 


03/31/95 


94 CSE 


1398 


Mann 


03/31/95 


94 CSE 


1412 


Gray 


03/31/95 


94 CSE 


1413 


Gray 


06/26/95 


94 CSE 


1414 


Gray 


06/27/95 


94 CSE 1415 


Morrison 


03/02/95 


94 CSE 


1416 


Morrison 


03/21/95 


94 CSE 


1417 


Morrison 


03/21/95 


94 CSE 


1419 


Morrison 


06/26/95 


94 CSE 


1420 


Reilly 


04/03/95 


94 CSE 


1421 


Reilly 


03/03/95 


94 CSE 


1423 


Reilly 


06/02/95 


94 CSE 


1424 


Reilly 


04/03/95 


94 CSE 


1425 


West 


03/31/95 


94 CSE 


1426 


West 


03/31/95 


94 CSE 


1427 


West 


03/31/95 


94 CSE 


1429 


West 


03/31/95 


94 CSE 


1430 


Nesnow 


03/24/95 


94 CSE 


1431 


Nesnow 


03/24/95 


94 CSE 


1432 


Nesnow 


03/24/95 


94 CSE 


1433 


Nesnow 


03/24/95 


94 CSE 


1434 


Nesnow 


07/11/95 


94 CSE 


1435 


Becton 


03/06/95 


94 CSE 


1436 


Becton 


03/06/95 


94 CSE 


1437 


Becton 


07/28/95 


94 CSE 


1438 


Becton 


07/05/95 


94 CSE 


1439 


Chess 


03/03/95 


94 CSE 


1441 


Chess 


07/18/95 


94 CSE 


1442 


Chess 


06/29/95 


94 CSE 


1444 


Mann 


03/07/95 


94 CSE 


1445 


Gray 


03/02/95 


94 CSE 


1446 


Morrison 


03/21/95 


94 CSE 


1447 


Reilly 


04/03/95 


94 CSE 


1449 


Nesnow 


07/26/95 


94 CSE 


1450 


Gray 


06/09/95 


94 CSE 


1452 


West 


03/07/95 


94 CSE 


1454 


Nesnow 


04/17/95 


94 CSE 


1455 


Nesnow 


03/07/95 


94 CSE 


1456 


Nesnow 


04/17/95 


94 CSE 


1457 


Nesnow 


04/28/95 


94 CSE 


1458 


Nesnow 


08/10/95 


94 CSE 


1459 


Becton 


03/06/95 


94 CSE 


1460 


Becton 


04/07/95 


94 CSE 


1461 


Becton 


04/07/95 


94 CSE 


1462 


Becton 


04/07/95 


94 CSE 


1463 


Becton 


04/07/95 


94 CSE 


1464 


Chess 


08/15/95 


94 CSE 


1466 


Chess 


06/09/95 


94 CSE 


1468 


Chess 


07/20/95 


94 CSE 


1470 


Mann 


03/31/95 


94 CSE 


1471 


Mann 


03/07/95 


94 CSE 


1472 


Mann 


03/07/95 


94 CSE 


1473 


Gray 


03/02/95 


94 CSE 


1474 


Gray 


03/09/95 


94 CSE 


1475 


Gray 


05/19/95 


94 CSE 


1476 


Morrison 


03/21/95 


94 CSE 


1477 


Morrison 


03/02/95 


94 CSE 


1478 


Morrison 


03/02/95 


94 CSE 


1479 


Morrison 


03/21/95 


94 CSE 


1480 


Reilly 


04/10/95 


94 CSE 


1481 


Reilly 


06/26/95 


94 CSE 


1482 


Reilly 


04/10/95 


94 CSE 


1484 


Nesnow 


04/17/95 


94 CSE 


1485 


Nesnow 


07/11/95 


94 CSE 


1486 


Nesnow 


04/17/95 


94 CSE 


1487 


Nesnow 


05/23/95 


94 CSE 


1488 


Becton 


07/18/95 


94 CSE 


1489 


Becton 


03/07/95 



PUBLISHED DECISION 
REGISTER CITATION 



2188 



NORTH CAROLINA REGISTER 



November 15, 1995 10:16C 



CONTESTED CASE DECISIONS 



AGENCY 



Karlyn R. Foster v. Department of Human Resources 

Ronald E. Lewis v. Department of Human Resources 

Wesley Kelvin Cook v. Department of Human Resources 

Everett Lee Hunt v. Department of Human Resources 

Kenneth W. Cahoon v. Department of Human Resources 

Ricky S. Blake v. Department of Human Resources 

Rick E. Atkins v. Department of Human Resources 

Timothy James Burnett v. Department of Human Resources 

Carlos L. Robinson v. Department of Human Resources 

Eddie O. Toro v. Department of Human Resources 

Timothy Mark Johnson v. Department of Human Resources 

Alan W. Karsner v. Department of Human Resources 

Walter J. Sturdivant v. Department of Human Resources 

Volna Ramone Gales v. Department of Human Resources 

Bruce Kelly Jacobs v. Department of Human Resources 

Tony Collins v. Department of Human Resources 

Ronald O. Biggs v. Department of Human Resources 

Keith Dewayne Senters v. Department of Human Resources 

Walter E. Champion Jr. v. Department of Human Resources 

Marvin B. Harris v. Department of Human Resources 

Jay C. Edwards, III v. Department of Human Resources 

William Hyman v. Department of Human Resources 

David M. Manson v. Department of Human Resources 

Mahalon E. White v. Department of Human Resources 

Dennis Ray Alexander v. Department of Human Resources 

Joseph R. & Lmda M. Grooms v. Department of Human Resources 

Robert M. Martin v. Department of Human Resources 

Ashton Berry GatHn v. Department of Human Resources 

Louis Cragg HI v. Department of Human Resources 

Dennis Micheal Sanders v. Department of Human Resources 

Anthony Bonini v. Department of Human Resources 

Jerry Wallace v. Department of Human Resources 

John D- Twine Sr. v. Department of Human Resources 

David A. Gaskins v. Department of Human Resources 

Kevin Ervin Kelley v. Department of Human Resources 

Nathaniel Ashford v. Department of Human Resources 

Gilbert S. McLcod v. Department of Human Resources 

Ellen Downing v. Department of Human Resources 

Charles R. Hauley v. Department of Human Resources 

Michael L. Schadler v. Department of Human Resources 

Owen B. Fisher Jr. v. Department of Human Resources 

Robin Delmar Goods v. Department of Human Resources 

Julio Alvarado Jr. v. Department of Human Resources 

Thomas A. Morgan v. Department of Human Resources 

Terrence R. McLaughlin v. Department of Human Resources 

Johnnie V. Johnson v. Department of Human Resources 

Ward F- Miller v. Department of Human Resources 

Joel P. Roth V. Department of Human Resources 

Atward T. Warren v. Department of Human Resources 

Monte Harwell v. Department of Human Resources 

Albert Noah Dunlap v. Department of Human Resources 

James E. Davis v. Department of Human Resources 

Roger T. Benoy v. Department of Human Resources 

Spencer P. Johnson v. Department of Human Resources 

James A. Bryant v. Department of Human Resources 

Conrade Dunklin v. Department of Human Resources 

Kenneth J. Balfour v. Department of Human Resources 

Tony Thomas v. Department of Human Resources 

Willie A. Harris v. Department of Human Resources 

Walter T. Townsend Jr. v. Department of Human Resources 

Martin A. Greene v. Department of Human Resources 

Dennis W. Nolan v. Department of Human Resources 

Roderick Odell Adams v. Department of Human Resources 

Jonathan L. Payne 11 v. Department of Human Resources 

Charles Scott Wilhoit v. Department of Human Resources 

Mickey Bridgett v. Department of Human Resources 

John Kimmons v. Department of Human Resources 

Randolph J. Nunn v. Department of Human Resources 



CASE 




DATE OF 


PUBLISHED DECISION 


^fUMBER 


ALJ 


DECISION 


REGISTER CITATION 


94 CSE 


1490 


BectOD 


10/12/95 




94CSE 


1491 


Becton 


03/07/95 




94 CSE 


1492 


Becton 


04/07/95 




94 CSE 


1493 


Chess 


06/01/95 




94 CSE 


1494 


Chess 


07/12/95 




94 CSE 


1495 


Chess 


06/22/95 




94 CSE 


1496 


Chess 


06/28/95 




94 CSE 


1498 


Chess 


07/20/95 




94 CSE 


1499 


Mann 


03/31/95 




94 CSE 


1500 


Mann 


03/31/95 




94 CSE 


1502 


Mann 


05/02/95 




94 CSE 


1503 


Mann 


05/02/95 




94 CSE 


1504 


Gray 


06/26/95 




94 CSE 


1505 


Gray 


04/07/95 




94 CSE 


1508 


Gray 


03/31/95 




94 CSE 


1511 


Gray 


03/02/95 




94 CSE 


1512 


Gray 


04/07/95 




94 CSE 


1513 


Gray 


04/28/95 




94 CSE 


1515 


Morrison 


08/04/95 




94 CSE 


1533 


Morrison 


03/02/95 




94 CSE 


1534 


Morrison 


04/06/95 




94 CSE 


1535 


Morrison 


06/26/95 




94 CSE 


1536 


Momson 


09/21/95 




94 CSE 


1537 


Momson 


04/06/95 




94 CSE 


1538 


ReiUy 


03/03/95 




94 CSE 


1539 


Reilly 


03/07/95 




94 CSE 


1541 


Reilly 


03/07/95 




94 CSE 


1542 


Reilly 


04/10/95 




94 CSE 


1543 


West 


03/06/95 




94 CSE 


1544 


West 


06/23/95 




94 CSE 


1545 


West 


07/18/95 




94 CSE 


1546 


West 


08/25/95 




94 CSE 


1547 


West 


07/18/95 




94 CSE 


1548 


West 


05/22/95 




94 CSE 


1549 


Nesnow 


06/02/95 




94 CSE 


1551 


Ncsnow 


07/26/95 




94 CSE 


1552 


Nesnow 


09/28/95 




94 CSE 


1553 


Nesnow 


03/30/95 




94 CSE 


1554 


Becton 


03/07/95 




94 CSE 


1555 


Becton 


03/07/95 




94 CSE 


1562 


Becton 


04/07/95 




94 CSE 


1563 


Becton 


04/07/95 




94 CSE 


1564 


Becton 


05/22/95 




94 CSE 


1567 


Chess 


06/02/95 




94 CSE 


1569 


Chess 


03/07/95 




94 CSE 


1570 


Chess 


06/28/95 




94 CSE 


1571 


Chess 


04/19/95 




94 CSE 


1572 


West 


03/14/95 




94 CSE 


1573 


West 


03/31/95 




94 CSE 


1576 


West 


07/18/95 




94 CSE 


1577 


ReiUy 


04/10/95 




94 CSE 


1578 


Reilly 


04/10/95 




94 CSE 


1579 


Reilly 


03/03/95 




94 CSE 


1580 


Reilly 


04/10/95 




94 CSE 


1582 


Morrison 


04/06/95 




94 CSE 


1583 


Morrison 


04/06/95 




94 CSE 


1584 


Morrison 


03/07/95 




94 CSE 


1585 


Morrison 


07/26/95 




94 CSE 


1586 


Morrison 


04/06/95 




94 CSE 


1587 


Gray 


04/28/95 




94 CSE 


1588 


Gray 


08/11/95 




94 CSE 


1590 


Gray 


03/31/95 




94 CSE 


1591 


Gray 


04/07/95 




94 CSE 


1592 


Morrison 


04/06/95 




94 CSE 


1594 


Reilly 


04/21/95 




94 CSE 


1595 


West 


05/08/95 




94 CSE 


1596 


Nesnow 


04/17/95 




94 CSE 


1608 


Mann 


03/21/95 





10:16C 



NORTH CAROLINA REGISTER 



November 15, 1995 2189 



CONTESTED CASE DECISIONS 



AGENCY 



David Lester Gordon v. Department of Human Resources 
Larry James Walker, Jr. v. Department of Human Resources 
Wade A. Burgess v. Department of Human Resources 
Gary Jones v. Department of Human Resources 
Anthony Harrison v. Department of Human Resources 
Eddie L. Oliver HI v. Department of Human Resources 
Michael D. Tyree v. Department of Human Resources 
Edward Fisher v. Department of Human Resources 
Leroy Jones v. Department of Human Resources 
Bernard Cooper v. Department of Human Resources 
William Gray v. Department of Human Resources 
Edward Lockhart v. Department of Human Resources 
Duane B. Marshbum v. Department of Human Resources 
Jimmy R. Jackson v. Department of Human Resources 
Mark A. Jones v. Department of Human Resources 
Ondino Damota Freitas v. Department of Human Resources 
Tony Monzell Perry v. Department of Human Resources 
Frank M. Swett v. Department of Human Resources 
James B. Stokes Jr. v. Department of Human Resources 
Edith Christine Spurlock v. Department of Human Resources 
Andrew P. Jergens v. Department of Human Resources 
Nelson Bennett v. Department of Human Resources 
Eric L. McDonald v- Department of Human Resources 
Kevin Close v. Department of Human Resources 
Stephen L. Blankenship v Department of Human Resources 
Herbert T. Robertson v. Department of Human Resources 
Kenny R. Bradshaw v. Department of Human Resources 
Eddie Harris Jr. v. Department of Human Resources 
Ronnie P. Stephens v. Department of Human Resources 
Anthony B. Gardner v. Department of Human Resources 
Timothy C. Okeke v. Department of Human Resources 
Lewis M. Scarborough v. Department of Human Resources 
Manuel F. Isla v. Department of Human Resources 
Robert Larry Martin v. Department of Human Resources 
Dwane M. Williams v. Department of Human Resources 
Joseph O. Evans v. Department of Human Resources 
Donald E. Kirby v. Department of Human Resources 
Darell D. Gaulier v. Department of Human Resources 
Paul R. Ross V. Department of Human Resources 
Bobby Dain Massey v. Department of Human Resources 
Mandel Curry Edwards v. Department of Human Resources 
Carol Jeanne Deese v. Department of Human Resources 
James Wright Jr. v. Department of Human Resources 
Joyce Ann Wilkinson v. Department of Human Resources 
Levem Wilson, Jr. v. Department of Human Resources 
Michael A. Bradford v. Department of Human Resources 
dayman R. Norfleet v. Department of Human Resources 
Johnny C. Cole v. Department of Human Resources 
Rasoul Behboudi v. Department of Human Resources 
David L. Hill v. Department of Human Resources 
Keith Matthews v. Department of Human Resources 
Ernest N. Pruitt, Jr. v. Department of Human Resources 
Troy Cage v. Department of Human Resources 
Clyde R. Gaither v. Department of Human Resources 
Randy E. Baker v. Department of Human Resources 
James Glenn Locklear v. Department of Human Resources 
Walter Swimiak v. Department of Human Resources 
William Rann v. Department of Human Resources 
Inez Brown v. Department of Human Resources 
Matthew L. Ward v. Department of Human Resources 
Sanders Gilliard Hunter v. Department of Human Resources 
James A. Bishop Jr. v. Department of Human Resources 
Mark C. Bushrod v. Department of Human Resources 
Antoine D. Jones v. Department of Human Resources 
Bennie L. Little v. Department of Human Resources 
Yvonne Butler v. Department of Human Resources 
Derrick Leon Henry v. Department of Human Resources 
Raul A. Dinzey v. Department of Human Resources 



CASE 




DATE OF 


NUMBER 


AU 


DECISION 


94CSE 


1609 


Mann 


03/13/95 


94CSE 


1610 


Chess 


06/01/95 


94CSE 


1611 


Chess 


06/09/95 


94CSE 


1612 


Chess 


07/12/95 


94CSE 


1615 


Becton 


04/07/95 


94 CSE 


1616 


Becton 


07/10/95 


94CSE 


1619 


Becton 


04/07/95 


94 CSE 


1621 


Becton 


04/07/95 


94 CSE 


1622 


Ncsnow 


07/05/95 


94 CSE 


1623 


Nesnow 


04/17/95 


94 CSE 


1645 


Becton 


04/25/95 


94 CSE 


1646 


Chess 


06/02/95 


94 CSE 


1647 


Mann 


08/03/95 


94 CSE 


1648 


Gray 


03/09/95 


94 CSE 


1649 


Morrison 


03/07/95 


94 CSE 


1650 


Reilly 


03/07/95 


94 CSE 


1651 


West 


04/07/95 


94 CSE 


1652*' 


Reilly 


05/16/95 


94 CSE 


1653 


Becton 


04/07/95 


94 CSE 


1654 


Chess 


07/19/95 


94 CSE 


1655 


Mann 


05/22/95 


94 CSE 


1656 


Gray 


03/02/95 


94 CSE 


1657 


Morrison 


04/06/95 


94 CSE 


1677 


West 


08/10/95 


94 CSE 


1678 


Becton 


07/28/95 


94 CSE 


1679 


Chess 


06/28/95 


94 CSE 


1700 


Reilly 


04/10/95 


94 CSE 


1702 


Becton 


04/07/95 


94 CSE 


1703 


Chess 


06/28/95 


94 CSE 


1704 


Mann 


05/02/95 


94 CSE 


1724 


Reilly 


08/08/95 


94 CSE 


1725 


West 


05/25/95 


94 CSE 


1749*'" 


Becton 


07/28/95 


94 CSE 


1750 


Chess 


03/21/95 


94 CSE 


1759 


Nesnow 


06/09/95 


94 CSE 


1766 


Chess 


03/21/95 


94 CSE 


1767 


Reilly 


03/03/95 


94 CSE 


1768 


Mann 


08/03/95 


94 CSE 


1778 


West 


03/06/95 


94 CSE 


1798 


Gray 


04/27/95 


94 CSE 


1799*' 


Gray 


05/31/95 


94 CSE 


1814 


Morrison 


04/27/95 


94 CSE 


1826 


Nesnow 


07/11/95 


95 CSE 0071 


Becton 


04/04/95 


95 CSE 0073 


Chess 


06/28/95 


95 CSE 0116 


Mann 


05/25/95 


95 CSE 0117 


Morrison 


07/11/95 


95 CSE 0118 


Reilly 


06/22/95 


95 CSE 0147 


West 


05/18/95 


95 CSE 0200 


Becton 


08/29/95 


95 CSE 0205 


Chess 


07/19/95 


95 CSE 0206 


Phipps 


07/21/95 


95 CSE 0207 


Phipps 


07/26/95 


95 CSE 0208 


Phipps 


07/31/95 


95 CSE 0226 


Nesnow 


07/28/95 


95 CSE 0229 


Phipps 


07/31/95 


95 CSE 0230 


West 


07/18/95 


95 CSE 0273 


Phipps 


06/27/95 


95 CSE 0279 


Phipps 


07/21/95 


95 CSE 0280 


Phipps 


06/27/95 


95 CSE 0284 


Phipps 


05/22/95 


95 CSE 0292 


Gray 


08/07/95 


95 CSE 0297 


Morrison 


07/26/95 


95 CSE 0300 


Reilly 


07/21/95 


95 CSE 0313 


Morrison 


07/21/95 


95 CSE 0319 


Becton 


09/18/95 


95 CSE 0321 


Chess 


07/17/95 


95 CSE 0344 


Mann 


08/03/95 



PUBLISHED DECISION 
REGISTER CITATION 



{ 



i 



2190 



NORTH CAROLINA REGISTER 



November 15, 1995 10:16C 



CONTESTED CASE DECISIONS 



AGENCY 



David Dean Davis v. Department of Human Resources 
Frank McGirt v. Department of Human Resources 
Kelly TTiomas Felty v. Department of Human Resources 
Robert Lee Ellion v. Department of Human Resources 
Kelvin M. Tarlton v. Department of Human Resources 
Clarence O. Hilliard v. Department of Human Resources 
Larry James McGirt v. Department of Human Resources 
AJonzo Wilson v. Department of Human Resources 
Reginald Hill v. Department of Human Resources 
Rhonda D. Deaton v. Department of Human Resources 
Timothy W. Barber v. Department of Human Resources 
Rudolph C. Williams v. Department of Human Resources 
John K. Bostic v. Department of Human Resources 
Eva T. Wilson v. Department of Human Resources 
Robert Lee Smith, Jr. v. Department of Human Resources 
Dave L. James v. Department of Human Resources 
Robert Lee Bullock v. Department of Human Resources 
Augusta Hepburn v. Department of Human Resources 
Kenneth Walter Dudney v. Department of Human Resources 
Michael Watts Sr. v. Department of Human Resources 
Chris Brown v. Department of Human Resources 
Kenneth Collins v. Department of Human Resources 
Walter Richardson, Jr. v. Department of Human Resources 
James M. Melvin v. Department of Human Resources 
Alvin L. Martin v. Department of Human Resources 
Kirk Shannon Baker v. Department of Human Resources 
Willie Gadson v. Department of Human Resources 
Eddie Harris Jr. v. Department of Human Resources 
Willie M. Herring v. Department of Human Resources 

Distribution Child Support 

Lisa J. Hill v. DHR, Div. of Social Svcs., Child Support Enf. Section 



CASE 




DATE OF 


PUBLISHED DECISION 


NXmiBER 


ALJ 


DECISION 


REGISTER CITATION 


95 CSE 0350 


PhippB 


07/26/95 




95 CSE 0351 


Gray 


08/07/95 




95 CSE 0360 


Morrison 


08/07/95 




95 CSE 0369 


Reilly 


10/09/95 




95 CSE 0370 


West 


07/26/95 




95 CSE 0371 


Reilly 


05/25/95 




95 CSE 0389 


Nesnow 


08/10/95 




95 CSE 0414 


Becton 


07/28/95 




95 CSE 0438 


Becton 


07/21/95 




95 CSE 0489 


Bev-ton 


07/05/95 




95 CSE 0491 


Phipps 


08/07/95 




95 CSE 0492 


Gray 


07/18/95 




95 CSE 0493 


Nesnow 


08/02/95 




95 CSE 0520 


Reilly 


07/21/95 




95 CSE 0528 


West 


08/25/95 




95 CSE 0539 


Mann 


07/21/95 




95 CSE 0559 


Phipps 


07/31/95 




95 CSE 0573 


Gray 


08/28/95 




95 CSE 0575 


Morrison 


09/12/95 




95 CSE 0628 


Nesnow 


09/26/95 




95 CSE 0695 


Phipps 


08/25/95 




95 CSE 0709 


Chess 


10/27/95 




95 CSE 0710 


Chess 


09/26/95 




95 CSE 0719 


Phipps 


10/10/95 




95 CSE 0733 


Gray 


10/05/95 




95 CSE 0734 


Morrison 


10/06/95 




95 CSE 0783 


Nesnow 


10/26/95 




95 CSE 0814 


Becton 


09/28/95 




95 CSE 0913 


Gray 


09/25/95 





95 DCS 0239 



Phipps 



05/02/95 



Hoke County Social Senices 
Mr. and Mrs. William Jefferson v. Hoke Cty Soc Svcs, Linda Cromartie 95 DHR 0857 

Rockingham County Department of Social Services 
Crystean Fields v. Rockingham County DSS 95 DHR 0316 

Wake County Social Services 

Grace A. Wright v. Wake County Social Services., Suzanne Woodell 94 DHR 1618 

and Craig Glenn 

INSURANCE 

Grace F. Watkins v. Teachers' &. St. Emp. Comp. Major Med. Plan 94 INS 1639 

Billy Gene Campbell v. Department of Insurance 95 INS 0143 

Karen Wingert Bunch v. Teachers' & St. Emp. Comp. Major Med. Plan 95 INS 0243 

JUSTICE 



Gray 



Reilly 



Chess 



08/17/95 



06/01/95 



05/03/95 



Chess 


05/24/95 


Reilly 


04/20/95 


Morrison 


07/21/95 



Alarm Systems Licensing Board 

Patrick P. Sassman v. Alarm Systems Licensing Board 
Chad R. Fuller v. Alarm Systems Licensing Board 
Malcolm K. Teague v. Alarm Systems Licensing Board 

Education and Training Standards Division 



94 DOJ 1825 


Reilly 


03/09/95 


95 DOJ 0716 


West 


08/18/95 


95 DOJ 0765 


Nesnow 


10/19/95 



Ricky Dale McDevitt v. Sherifrs Ed. & Training Stds. Comm. 94 DOJ 1710 

Reginald Keith Goffington v. Ciminal Justice Ed. & Training Stds. Comm. 95 DOJ 0028 
Nervin Joseph DeDeaux v. Criminal Justice Ed. & Training Stds. Comm. 95 DOJ 0029 
Tony Lamont Blackmon v. Criminal Justice Ed. & Training Stds. Comm. 95 DOJ 0043 
Constance F. Lawrence v. Sheriffs Ed. & Training Stds. Comm. 95 DOJ 0076 



Nesnow 


05/04/95 


10:05 NCR 


324 


Becton 


06/08/95 






Reilly 


05/16/95 






Reilly 


06/02/95 






Morrison 


04/06/95 







10:16C 



NORTH CAROLINA REGISTER 



November 15, 1995 2191 



CONTESTED CASE DECISIONS 



AGENCY 



Alexander Douglas Jones v. Criminal Justice Ed. & Training Stds. Comm. 

Marilyn Jean Britt v. Sheriifg Ed. & Training Stds. Comm. 

Antonio Tremont Davis v. SherifTs Ed. & Training Stds. Comm. 

Amy Rebecca Batcheler v. Sheriffs Ed. & Training Stds. Comm. 

Richard Dan Wuchte v. Criminal Justice Ed. & Training Stds. Comm. 

Henry Roger Judd v. Sheriff's Ed. &. Training Stds. Comm. 

Daryl Tyrone Beard v. Criminal Justice Ed. & Training Stds. Comm. 

Jewel T. Braswell v. Criminal Justice Ed. &. Training Stds. Comm. 

George H. Powell Jr. v. Criminal Justice Ed. Sc Training Stds. Comm. 

Mark Jason Smith v. Sheriffs Ed. & Training Stds. Comm. 

Jeffrey Andre Jenkins v. Criminal Justice Ed. & Training Stds. Comm. 

Private Protective Services Board 

Lewis Austin Saintsing v. Private Protective Services Board 
Marcus T. Williams v. Private Protective Services Board 
Melvm Ray Cooper v. Private Protective Services Board 
Donnell E. Morrow, Jr. v. Private Protective Services Board 
Pnvate Protective Services Board v. James C. Purvis 
Private Protective Services Board v. Samuel O. Smith 
Jann Mitchell Stanley v. Private Protective Services Board 
Donald Wayne Clark v. Private Protective Services Board 
Richard Frank v. Private Protective Services Board 
Marvin E. Shackleford v. Private Protective Services Board 
Julius T. Fairley v. Private Protective Services Board 
James L. McLeary, Jr. v. Private Protective Services Board 
Bobby E. Smithey v. Private Protective Services Board 
Frederick B. Moore, Jr. v. Private Protective Services Board 
Daniel C. Inglese v. Private Protective Services Board 
Walter Lee Watson v. Private Protective Services Board 
Charles Ray Gable v. Private Protective Services Board 
Robert Baxter McGuire, Sr. v. Private Protective Services Board 



LABOR 

Occupational Sqfety & Health Division 

Lenoir County Public Schools v. Department of Labor, OSHA 95 DOL 0218 

Private Personnel Service Division 

Employment Consultants, Inc. v. Private Personnel Service Division 95 DOL 0209 

Wage and Hour Division 

R.J. Scott, Pres. Pirate Enterprises, Inc. v. Labor, Wage & Hour Div. 94 DOL 1524 

PRACTICING PSYCHOLOGISTS 

John E. Miller v. Psychology Board 95 BPP 0629 

PUBLIC INSTRUCTION 



CASE 




DATE OF 


PUBLISHED DECISION 


NUMBER 


AU 


DECISION 


REGISTER CITATION 


95 DOJ 0101 


Morrison 


06/13/95 


10:07 NCR 627 


95 DOJ 0172 


Gray 


08/03/95 




95 DOJ 0298 


Phipps 


08/08/95 




95 DOJ 0364 


West 


08/16/95 




95 DOJ 0401 


Ncsnow 


06/07/95 




95 DOJ 0431 


Nesnow 


08/02/95 




95 DOJ 0566 


Gray 


10/11/95 




95 DOJ 0730 


Phipps 


09/11/95 




95 DOJ 0784 


Phipps 


09/08/95 




95 DOJ 0795 


Gray 


08/14/95 




95 DOJ 1408 


Phipps 


07/31/95 





Nesnow 



Morrison 



West 



Nesnow 



05/01/95 



07/07/95 



03/23/95 



09/12/95 



i 



94 DOJ 1000 


Chess 


03/03/95 




94 DOJ 1064 


Chess 


02/24/95 




94 DOJ 1635 


Reilly 


03/09/95 




94 DOJ 1823 


Reilly 


03/09/95 




95 DOJ 0018 


Chess 


05/15/95 




95 DOJ 0133 


Chess 


05/09/95 




95 DOJ 0420 


Morrison 


05/24/95 




95 DOJ 0444 


Phipps 


07/14/95 


10:09 NCR 805 


95 DOJ 0610 


Phipps 


08/10/95 




95 DOJ 0611 


Phipps 


07/18/95 




95 DOJ 0612 


Phipps 


07/20/95 




95 DOJ 0613 


Phipps 


07/18/95 




95 DOJ 0717 


West 


08/23/95 


10:12 NCR 1039 


95 DOJ 0766 


Morrison 


09/01/95 




95 DOJ 0767 


Morrison 


08/30/95 




95 DOJ 0768 


West 


10/09/95 




95 DOJ 0975 


Gray 


10/17/95 




95 DOJ 0977 


Gray 


10/17/95 





i 



Glenn H, on behalf of Glenn D, and Glenn U, Individually v. Charlotte- 
Mecklenburg County Schools 

Donna Marie Snyder v. Department of Public Instruction 

S.M. on Behalf of J. A.M., and S.M.. Individually, and J.M. v. Davie 
County Board of Education 

William Hewelt v. State Board of Education 

James Midgette v. State Board of Education 

Deborah R. Crouse v. State Board of Education 

Haydn Stewart Hasty v. State Board of Education 

Bobby G. Little v. Department of Public Instruction 

Tonya Marie Snipes and Robert Leon Snipes v. Orange County Schools 

Vance County Schools v. Haywood Yarborough 

Laveme K. Suggs v. Department of Public Instruction 

Lavem K. Suggs v. Guilford County Schools 

Kenneth G.H. Leftwich v. State Board of Education 



93 EDC 0549 


Chess 


93 EDC 0731 


Chess 


93 EDC 0742 


Phipps 


94 EDC 0533 


Gray 


94 EDC 1401 


Reilly 


95 EDC 0003 


Chess 


95 EDC 0027 


Reilly 


95 EDC 0168 


Phipps 


95 EDC 0225 


Mann 


95 EDC 0235 


Mann 


95 EDC 0384 


Nesnow 


95 EDC 0385 


Nesnow 


95 EDC 0405 


Nesnow 



03/16/95 

10/11/95 
05/30/95 

03/31/95 
05/02/95 
04/10/95 
10/09/95 
03/20/95 
05/15/95 
08/04/95 
07/12/95 
06/02/95 
05/25/95 



10:02 NCR 179 



10:15 NCR 1632 



i 



2192 



NORTH CAROLINA REGISTER 



November 15, 1995 10:16C 



CONTESTED CASE DECISIONS 



AGENCY 



CASE 
NUMBER 



ALJ 



DATE OF 
DECISION 



PUBLISHED DECISION 
REGISTER CITATION 



STATE BAR 

Phillip S. Banks, m v. North Carolina State Bar 

STATE PERSONNEL 

Caswell County Health Department 

Delia Brown v. Caswell County Health Department 
Julie R. Johnson v. Caswell County Health Department 

N.C. Central University 

Peter A. Fore v. N.C. Central University 



95 BAR 0861 



Morrison 



08/18/95 



94 OSP 0834 
94 OSP 0865 



93 OSP 0189 



Department of Commerce 

T. Sherwood Jemigan v. Dept. of Commerce, Savings Institution Div. 94 OSP 0775 
Department of Correction 



Nancy Gilchrist v. Department of Correction 

Howard Gray Sadler v. Correction, Div. of Adult Probation/Parole 

Thomas Wayne Smathers v. Department of Correction 

George J. McClease, Jr. v. Department of Correction 

Gaius Wells v. Department of Correction 

Nancy C Walker v. Department of Correction 

Ruth Kearney v. Department of Correction 

Ann R. Fletcher v. Department of Correction 

Odell Davis v. Department of Correction 

James W. Hughes v. Department of Correction, Blue Ridge Unit Avery 

Dennis Harrell v. Department of Correction 

William E. Norwood, Jr. v. Department of Correction 

Shelby Gorham-Teel v. Department of Correction 

Larry Riddle v. Department of Correction 

Eric Little v. Department of Correction, Morrison Yout Institution 

Cynthia R. Steven v- N.C. Women's Prison 

Department of Crime Control and Public Safety 



Betty Sue Whitley v. National Guard Dept. Crime Control & Public Safety94 OSP 1399 
Robert W. Beasley v. Crime Control & Public Safety, St. Highway Patrol 94 OSP 1821 



Office of the District Attorney 

Shannon Caudill v. Office of the District Attorney for Judicial 
District I7-B, and Administrative Office of the Courts 

Dorothea Dix Hospital 

Paul E. Hunter v. Dorothea Dix Hospital 

Durham County Health Department 

Laurie A. Gerhard v. Durham County Health Department 

East Carolina University 



95 OSP 0188 



95 OSP 0504 



95 OSP 0220 



94 OSP 1558 



Nesnow 
Reilly 



Nesnow 



West 



Chess 
Morrison 



Nesnow 



Gray 



Phipps 



Reilly 



Helen E. Wolfe v. East Carolina University, Dept. of Biology 

Lillie Mercer Atkinson v. ECU, Dept. of Comparative Medicine, et al. 95 OSP 0038*' Becton 

Lillie Mercer Atkinson v. ECU, Dept. of Comparative Medicine, et al. 95 OSP 0057*' Becton 



Edgecombe County Health Department 

Ronald E. Wooten v. Edgecome County Health Department 



06/12/95 
03/15/95 



06/13/95 



05/25/95 



94 OSP 0121 


West 


03/09/95 




94 OSP 0332 


West 


05/15/95 




94 OSP 0590 


West 


03/23/95 




94 OSP 0644 


Gray 


04/19/95 




94 OSP 0684 


West 


10/12/95 


10:15 NCR 1610 


94 OSP 1206 


Gray 


08/18/95 




94 OSP 1807 


Becton 


03/13/95 




95 OSP 0123 


Chess 


08/21/95 




95 OSP 0244 


Gray 


09/21/95 




95 OSP 0334 


Becton 


07/25/95 




95 OSP 0440 


Phipps 


09/05/95 


10:13 NCR 1209 


95 OSP 0500 


Gray 


08/16/95 




95 OSP 0536 


Reilly 


10/23/95 




95 OSP 0570 


West 


10/18/95 




95 OSP 0658 


Phipps 


10/18/95 




95 OSP 0829 


Chess 


10/24/95 





94 OSP 1209 



Gray 



06/13/95 
08/10/95 



03/20/95 



07/12/95 



08/17/95 



09/07/95 
06/08/95 
06/08/95 



07/10/95 



10:11 NCR 965 



10:12 NCR 1043 



10:16C 



NORTH CAROLINA REGISTER 



November 15, 1995 2193 



CONTESTED CASE DECISIONS 



AGENCY 



CASE 
NUMBER 



AU 



DATE OF 
DECISION 



PUBLISHED DECISION 
REGISTER CITATION 



Department of Environment, Health, and Natural Resources 

Babctte K. McKemie v. EHNR, Div. of Environmental Management 94 OSP 0358 

Fayetteville State University 



George Benstead v. Fayetteville Stale University 
Lt. Bobby McEachem v. FSU Police Department 
Officer Gregor A. Miles v. FSU Police Department 



Forsyth Stokes Mental Health Center 

Michael Howell v. Forsyth Stokes Mental Health Center 94 OSP 0499 

Guilford County Mental Health 

Darrell Edwin Fricke v. Guilford County Mental Health (Thomas S. Div.) 95 OSP 0942 

Department of Human Resources 

Apni Benfield v. Department of Human Resources 
and 
Western Carolina Center 
Eugene Hightower, Jr. v Department of Human Resources, EEO 
Rebecca Johnson v. Human Resources, Special Care Center 
Edward E. Williams v. NC Special Care Center, Def./Emp, DHR 

BUick Mountuin Center 

James Harrison v. Black Mountain Center, Dept. of Human Resources 
James Harrison v. Black Mountain Center, Dept. of Human Resources 

Cas^'ell Center 

David A. Kilpatrick v. DHR, Caswell Center 

Cherry Hospital 



Chess 



Chess 



West 



94 OSP 0994*" 

95 OSP 0190*" 



95 OSP 0267 



William H. Cooke v. DHR, Cherry Hospital 
Deloris L. Johnson v. Cherry Hospital, DHR 

Durham Counts Department of Social Services 
Delores H. Jeffers v. Durham County Department of Social Services 

Gaston County Department of Soaal Semces 
Bobbie J. Gilliam v. Gaston County Department of Social Services 

Iredell County Department of Social Services 

Vernon E. Grosse v. Iredell County Department of Social Services 
Bonnie N. Bellamy v. Iredell County Department of Social Services 

Richmond County Department of Social Services 

Emma Jane Bradley v. Richmond County Dept. of Social Services 

Wake County Department of Health 

Rcgina K. Crowder v. Wake County/Health Dept., Caroline E. Lee, Dir. 
Sabrina R. Crowder v. Wake County/Health Dept., Richard Stevens 
Thomasine D. Avery v. Wake County/Health Department 

Wake County Department of Social Services 

Olivia L. Jordan v. Wake County/Department of Social Services 



93 OSP 1547 
95 OSP 0409 



94 OSP 0939 



94 OSP 0770 



94 OSP 0282 
94 OSP 0739 



95 OSP 0055 



Gray 
Gray 



Nesnow 



Gray 
Gray 



Morrison 



West 



Becton 

Chess 



Reilly 



05/31/95 



94 OSP 1597 


Nesnow 


04/04/95 


95 OSP 0042*' 


Reilly 


07/05/95 


95 OSP 0058*' 


Reilly 


07/05/95 



03/24/95 



09/22/95 



94 OSP 1758 


Nesnow 


06/07/95 


94 OSP 1811 


West 


05/04/95 


95 OSP 0138 


West 


03/31/95 


95 OSP 0483 


Reilly 


10/03/95 



07/31/95 
07/31/95 



10/25/95 



03/16/95 
08/25/95 



06/12/95 



05/24/95 



03/09/95 
03/01/95 



07/18/95 



94 OSP 1032*' 


Nesnow 


06/12/95 


94 OSP 1072*' 


Nesnow 


06/12/95 


94 OSP 1074*' 


Nesnow 


06/12/95 



i 



i 



10:01 NCR 48 



10:09 NCR 809 



94 OSP 1179*» Nesnow 



06/12/95 



i 



2194 



NORTH CAROLINA REGISTER 



November 15, 1995 10:16C 



CONTESTED CASE DECISIONS 



AGENCY 



CASE 
NUMBER 



ALJ 



DATE OF 
DECISION 



PUBLISHED DECISION 
REGISTER CITATION 



Department of Labor 

Michael Robert Smith v. Department of Labor 94 DSP 0610 Nesnow 

Lee'Hamett Area Mental Health, Developmental Disabilities, and Substance Abuse Authority 



89 OSP 0612 


Nesnow 


94 0SP 1173 


Reilly 


95 OSP 0044 


Morrison 


95 OSP 0130 


West 


95 OSP 0213 


Phipps 


95 OSP 0800 


Chess 



Julie Dyer v. Lee-Harnett Area MH/DD/SA Authority 94 OSP 0750 

North Carolina Special Care Center 

Lynn Banasiak Bass v. North Carolina Special Care Center 95 OSP 0419 

North Carolina State University 



Artelia S. Clark v. N.C. State University 

Wesley Brown v. N.C. State University 

David L. Bauer v. North Carolina State University 

Billy Ray Kelly v. NCSU Physical Plant 

Heather Ann Waskiowicz v. NCSU, Dept. of Public Safety 

Antoinette Chavis-Scott v. N.C.S.U. Accounts Payable 



Orange-Person-Chatham Mental Health 

Patricia A. Hams v. Orange-Person-Chatham Mental Health 95 OSP 0162 

Richmond Community College 

Willie J. Breeden v. Richmond Community College 95 OSP 0846 

Department of Transportation 

Michael E. Komegay v. Department of Transportation 

Robert F. Coins v. Department of Transportation 

Esther Doe Murphy v. Department of Transportation 

Lonnie Joseph Cole v. NC DOT (TTI's Boone NC) Div. of Hwys 

Judy H. Arnold v. Department of Transportation, Div. of Motor Vehicles 95 OSP 1075 

University of North Carolina 

Beth Ann Miller v. UNC Student Health 94 OSP 0800 

UNC Hospitals 



David Patrick Malone v. Univ. of NC Hospital at Chapel Hill 
Lillian C. Daniels v. UNC Hospital 

Wake County 

Mark Morgan v Wake County 
STATE TREASURER 



94 OSP 0771 

95 OSP 0056 



94 OSP 0937 



John W. Parris v. Bd. of Trustees//NC Local Gov. Emp. Retirement Sys. 91 DST 1093 
Channie S. Chapman v. Bd/Trustees//NC Local Gov. Emp. Ret Sys. 94 DST 0443 

Bryan L. Basden v. Retirement Systems Division 95 OSP 0171 

Wayne La Broad v. Bd./Trustees//Teachers/St. Emp. Retirement Sys. 95 DST 0219 

Tammy Evonne Ashcroft Brownv. Bd/Tr.//NC Local Gov. Emp. Ret Sys. 95 DST 0404 



UNIVERSITY OF NORTH CAROLINA 

Jerry B. Potter, Sr. v. UNC Hospitals at Chapel Hill 



Gray 



Phipps 



West 



Gray 



Nesnow 



Becton 
Morrison 



Nesnow 



06/09/95 



03/20/95 



08/01/95 



07/07/95 
06/30/95* 
04/25/95 
03/22/95 
07/06/95 
10/31/95 



04/11/95 



09/13/95 



93 OSP 1700 


Gray 


03/24/95 


94 OSP 0281 


Chess 


05/30/95 


95 OSP 0114 


Gray 


07/10/95 


95 OSP 0606 


West 


10/24/95 


95 OSP 1075 


Becton 


07/31/95 



05/25/95 



03/14/95 
05/11/95 



04/28/95 



10:08 NCR 700 



10:04 NCR 287 



Nesnow 


05/04/95 






Morrison 


05/15/95 






Chess 


06/21/95 






Morrison 


07/14/95 






Phipps 


07/27/95 


10:10 NCR 


872 



95 U'NC 0502 Gray 



09/12/95 



10:16C 



NORTH CAROLINA REGISTER 



November 15, 1995 2195 



NORTH CAROLINA ADMINISTRATIVE CODE CLASSIFICATION SYSTEM 



Ihe North Carolina Administrative Code (NCAC) has four major subdivisions of rules. Two of these, titles 
and chapters, are mandatory. The major subdivision of the NCAC is the title. Each major departtrient in 
the North Carolina executive branch of government has been assigned a title number. Titles are further 
broken down into chapters which shall be numerical in order. The other two, subchapters and sections 
are optional subdivisions to be used by agencies when appropriate. 



TITLE/MAJOR DIVISIONS OF THE NORTH CAROLINA ADMINISTRATIVE CODE 
TITLE DEPARTMENT LICENSING BOARDS CHAPTER 



1 


Administration 


Acupuncture 


1 


2 


Agriculture 


Architecture 


2 


3 


Auditor 


Auctioneers 


4 


4 


Commerce 


Barber Examiners 


6 


5 


Correction 


Certified Public Accountant Examiners 


8 


6 


Council of State 


Chiropractic Examiners 


10 


7 


Cultural Resources 


General Contractors 


12 


8 


Elections 


Cosmetic Art Examiners 


14 


9 


Governor 


Dental Examiners 


16 


10 


Human Resources 


Dietetics/Nutrition 


17 


11 


Insurance 


Electrical Contractors 


18 


12 


Justice 


Electrolysis 


19 


13 


Labor 


Foresters 


20 


14A 


Crime Control & Public Safety 


Geologists 


21 


15A 


Environment, Health, and Natural 


Hearmg Aid Dealers and Fitters 


22 




Resources 


I jmdscape Architects 


26 


16 


Public Education 


I flndscape Contractors 


28 


17 


Revenue 


Marital and Family Therapy 


31 


18 


Secretary of State 


Medical Examiners 


32 


19A 


Transportation 


Midwifery Joint Committee 


33 


20 


Treasurer 


Mortuary Science 


34 


*21 


Occupational Licensmg Boards 


Nursing 


36 


22 


Administrative Procedures 


Nursing Home Administrators 


37 


23 


Community Colleges 


Occupational Therapists 


38 


24 


Independent Agencies 


Opticians 


40 


25 


State Personnel 


Optometry 


42 


26 


Administrative Hearings 


Osteopathic Exammation & Reg. (Repealed) 


44 


27 


NC State Bar 


Pastoral Counselors, Fee-Based Practicing 


45 






Pharmacy 


46 






Physical Therapy Examiners 


48 






Plumbing, Heating & Fire Sprinkler Contractors 


50 






Podiatry Exammers 


52 






Professional Counselors 


53 






Practicing Psychologists 


54 






Professional Engineers & I ^nd Surveyors 


56 






Real Estate Appraisal Board 


57 






Real Estate Commission 


58 






Refngeration Examiners 


60 






Sanitarian Exammers 


62 






Social Work Certification 


63 






Speech & 1 ^nguage Pathologists & Audiologists 


64 






Substance Abuse Professionals 


68 






Therapeutic Recreation Certification 


65 






Vetennary Medical Board 


66 



Note: Title 21 contains the chapters of the various occupational licensing boards. 



2196 



NORTH CAROLINA REGISTER 



November 15, 1995 10:16C 



CUMULATIVE INDEX 



\ 



Agoicy/Rule Citation 



Proposed in 
Register 



Proposed 

Effective 

Date 



Fiscal Note 



State Local 



Effective 
Date 



Other Information 



ACUPUNCTURE LICENSING BOARD 



21 NCAC 01 .0101 




10:02 NCR 150 


07/01/95 


.0201 




10:07 NCR 585 


10/01/95 


.0401 - 


.0402 


10:02 NCR 150 


07/01/95 


.0501 




10:07 NCR 585 


10/01/95 


.0701 




10:07 NCR 585 


10/01/95 


.0702 - 


.0704 


10:16 NCR 2027 


02/01/96 


.0706 - 


.0707 


10:16 NCR 2027 


02/01/96 


.0710 - 


.0711 


10:16 NCR 2027 


02/01/96 


ADMINISTRATION 








1 NCAC 05A .0001 - 


.0002 


10:16 NCR 1651 


02/01/96 


.0004 




10:16 NCR 1651 


02/01/96 


.0009- 


.0010 


10:16 NCR 1651 


02/01/96 


.0012 




10:16 NCR 1651 


02/01/96 


05B .0101 - 


.0103 


10:16 NCR 1651 


02/01/96 


.0201 




10:16 NCR 1651 


02/01/96 


.0203 - 


.0204 


10:16 NCR 1651 


02/01/96 


.0206 - 


.0210 


10:16 NCR 1651 


02/01/96 


.0301 - 


.0314 


10:16 NCR 1651 


02/01/96 


.0401 - 


.0404 


10:16 NCR 1651 


02/01/96 


.0501 - 


.0503 


10:16 NCR 1651 


02/01/96 


.0601 - 


.0602 


10:16 NCR 1651 


02/01/96 


.0701 - 


.0702 


10:16 NCR 1651 


02/01/96 


.0801 - 


.0808 


10:16 NCR 1651 


02/01/96 


.0810 




10:16 NCR 1651 


02/01/96 


.0901 - 


.0902 


10:16 NCR 1651 


02/01/96 


.0904- 


.0906 


10:16 NCR 1651 


02/01/96 


.1001 - 


.1003 


10:16 NCR 1651 


02/01/96 


.1101 




10:16 NCR 1651 


02/01/96 


.1103 - 


.1104 


10:16 NCR 1651 


02/01/96 


.1106 




10:16 NCR 1651 


02/01/96 


.1108 




10:16 NCR 1651 


02/01/96 


.1201 - 


.1202 


10:16 NCR 1651 


02/01/96 


.1301 - 


.1302 


10:16 NCR 1651 


02/01/96 


.1401 - 


.1403 


10:16 NCR 1651 


02/01/96 


.1501 - 


.1513 


10:16 NCR 1651 


02/01/96 


.1516- 


.1521 


10:16 NCR 1651 


02/01/96 


.1601 - 


.1603 


10:16 NCR 1651 


02/01/96 


.1701 - 


.1703 


10:16 NCR 1651 


02/01/96 


.1801 - 


.1804 


10:16 NCR 1651 


02/01/96 


.1901 




10:16 NCR 1651 


02/01/96 


.1903 




10:16 NCR 1651 


02/01/96 


.1906- 


.1907 


10:16 NCR 1651 


02/01/96 


.1909 




10:16 NCR 1651 


02/01/96 


05C .0601 - 


.0602 


10:16 NCR 1651 


02/01/96 


.0701 - 


.0704 


10:16 NCR 1651 


02/01/96 


.0708 




10:16 NCR 1651 


02/01/96 


.0711 




10:16 NCR 1651 


02/01/96 


.0717 - 


.0718 


10:16 NCR 1651 


02/01/96 


.0720 




10:16 NCR 1651 


02/01/96 


.0722 




10:16 NCR 1651 


02/01/96 


.0803 - 


.0804 


10:16 NCR 1651 


02/01/96 


.0903 




10:16 NCR 1651 


02/01/96 


.1008- 


.1009 


10:16 NCR 1651 


02/01/96 


05D .0101 - 


.0102 


10:16 NCR 1651 


02/01/96 


.0201 - 


.0206 


10:16 NCR 1651 


02/01/96 


.0208 - 


.0210 


10:16 NCR 1651 


02/01/96 


.0301 - 


.0303 


10:16 NCR 1651 


02/01/96 


.0401 - 


.0403 


10:16 NCR 1651 


02/01/96 


.0501 - 


.0509 


10:16 NCR 1651 


02/01/96 


39 .0101 




10:16 NCR 1672 


02/01/96 



08/01/95 
08/01/95 



10:16C 



NORTH CAROLINA REGISTER 



November 15, 1995 2197 



CUMULATIVE INDEX 



Agency/Rule Citation 


Proposed in 
Register 


Proposed 

Effective 

Date 


Fiscal Note 


Effective 
Date 


Other Information 


State 


Local 





.0201 




10:16 NCR 1672 


02/01/96 


ADMINISTRATIVE HEARINGS 






26 NCAC 02A 


.0101 ■ 


.0102 


10:16 NCR 2160 


02/01/96 




.0201 - 


.0212 


10:16 NCR 2160 


02/01/96 




.0301 




10:16 NCR 2160 


02/01/96 




.0303 




10:16 NCR 2160 


02/01/96 




.0401 - 


.0406 


10:16 NCR 2160 


02/01/96 




.0501 - 


0507 


10:16 NCR 2160 


02/01/96 


02B 


.0101 




10:16 NCR 2160 


02/01/96 




.0103 - 


.0104 


10:16 NCR 2160 


02/01/96 




.0201 - 


.0204 


10:16 NCR 2160 


02/01/96 




.0301 - 


.0304 


10:16 NCR 2160 


02/01/96 




.0401 




10:16 NCR 2160 


02/01/96 


02C 


.0101 - 


.0109 


10:16 NCR 2160 


02/01/96 




.0201 - 


.0206 


10:16 NCR 2160 


02/01/96 




.0301 - 


.0305 


10:16 NCR 2160 


02/01/96 




.0401 - 


.0409 


10:16 NCR 2160 


02/01/96 




.0501 - 


.0503 


10:16 NCR 2160 


02/01/96 


AGRICULTURE 










2 NCAC 09L 


.1806 




10:16 NCR 1674 


03/01/96 


34 


.0904 




10:04 NCR 228 


08/01/95 




.0904 




10:07 NCR 430 


11/01/95 


48A 


,1702 




10:15 NCR 1432 


02/01/96 


48C 


.0029 




10:15 NCR 1432 


02/01/96 


52B 


.0207 




10:15 NCR 1432 


02/01/96 




.0212 




10:15 NCR 1432 


02/01/96 




.0302 




10:15 NCR 1432 


02/01/96 


52C 


.0105 




10:15 NCR 1432 


02/01/96 


ARCHITECTURE 








21 NCAC 02 


.0208 




10:12 NCR 985 


12/01/95 


02 


.0301 - 


.0302 


10:10 NCR 829 


07/01/96 


AUCTIONEERS 










21 NCAC 04B 


.0103 




10:16 NCR 2028 


03/01/96 




.0201 - 


0202 


10:16 NCR 2028 


03/01/96 




.0403 




10:16 NCR 2028 


03/01/96 




.0505 




10:16 NCR 2028 


03/01/96 




.0601 - 


.0602 


10:16 NCR 2028 


03/01/96 


BARBER EXAMINERS 








21 NCAC 06H 


0002 




10:16 NCR 2033 


02/01/96 


06J 


.0002 




10:16 NCR 2033 


02/01/96 


06K 


.0003 




10:16 NCR 2033 


02/01/96 


CERTIFIED PUBLIC ACCOUNTANT EXAMINERS 




21 NCAC 08 A 


.0301 




10:16 NCR 2033 


02/01/96 


08F 


.0103 




10:16 NCR 2033 


02/01/96 




.0105 




10:04 NCR 255 


08/01/95 




.0113 




10:04 NCR 255 


08/01/95 


08G 


.0401 




10:04 NCR 255 


08/01/95 




0404 




10:16 NCR 2033 


02/01/96 




.0409 




10:16 NCR 2033 


02/01/96 


081 


.0004 




10:16 NCR 2033 


02/01/96 


08J 


.0001 




10:16 NCR 2033 


02/01/96 




.0005 




10:04 NCR 255 


08/01/95 




.0006 




10:16 NCR 2033 


02/01/96 




.0008 




10:04 NCR 255 


08/01/95 


08M 


.0102 




10:04 NCR 255 


08/01/95 




.0102 - 


0103 


10:16 NCR 2033 


02/01/96 




.0104 




10:04 NCR 255 


08/01/95 



\ 



N/A 



Renoticed in 10:7 



08/01/95 
08/01/95 
08/01/95 



08/01/95 



08/01/95 

N/A RRC Obj./Rule Withdrawn 

08/01/95 



i 



2198 



NORTH CAROLINA REGISTER 



November 15, 1995 10:16C 



CUMULATIVE INDEX 



) 



Agaicy/Rule Citation 


Proposed in 
Register 


Proposed 

Effective 

Date 


Fiscal Note 


Effective 
Date 


Other Infonnation 


State 


Local 





.0206 - 


.0207 


10:16 NCR 2033 


02/01/96 




.0304 




10:16 NCR 2033 


02/01/96 




.0306 




10:04 NCR 255 


08/01/95 




.0401 




10:04 NCR 255 


08/01/95 




.0401 - 


.0402 


10:16 NCR 2033 


02/01/96 


08N 


.0203 




10:04 NCR 255 


08/01/95 




.0302 




10:04 NCR 255 


08/01/95 




.0306 




10:16 NCR 2033 


02/01/96 




.0307 




10:04 NCR 255 


08/01/95 


CHIROPRACTIC EXAMINERS 






21 NCAC 10 


.0203 




10:04 NCR 261 


08/01/95 


COMMERCE 










4 NCAC 02R 


.0303 




10:16 NCR 1675 


06/01/96 




.0305 




10:16 NCR 1675 


06/01/96 




.1708 




10:16 NCR 1675 


06/01/96 




.1710 




10:16 NCR 1675 


06/01/96 




.1801 - 


.1802 


10:16 NCR 1675 


06/01/96 


02S 


.0102 - 


.0103 


10:16 NCR 1675 


06/01/96 




.0105 - 


.0106 


10:16 NCR 1675 


06/01/96 




.0109 




10:16 NCR 1675 


06/01/96 




.0209 




10:16 NCR 1675 


06/01/96 




.0228 




10:16 NCR 1675 


06/01/96 




.0234 - 


.0235 


10:16 NCR 1675 


06/01/96 




.0402- 


.0404 


10:16 NCR 1675 


06/01/96 




.0511 - 


.0513 


10:16 NCR 1675 


06/01/96 




.0516 




10:16 NCR 1675 


06/01/96 




.0519 




10:16 NCR 1675 


06/01/96 




.0525 




10:16 NCR 1675 


06/01/96 




.0614 




10:16 NCR 1675 


06/01/96 




.0708 




10:16 NCR 1675 


06/01/96 




.0901 - 


.0904 


10:16 NCR 1675 


06/01/96 




.1005 




10:16 NCR 1675 


06/01/96 




.1008 




10:16 NCR 1675 


06/01/96 




.1011 




10:16 NCR 1675 


06/01/96 




.1021 




10:16 NCR 1675 


06/01/96 


02T 


.0101 - 


.0102 


10:16 NCR 1675 


06/01/96 




.0201 - 


.0202 


10:16 NCR 1675 


06/01/96 




.0206 




10:16 NCR 1675 


06/01/96 




.0301 - 


.0305 


10:16 NCR 1675 


06/01/96 




.0308 - 


.0309 


10:16 NCR 1675 


06/01/96 




.0409- 


.0411 


10:16 NCR 1675 


06/01/96 




.0502 




10:16 NCR 1675 


06/01/96 




.0601 - 


.0602 


10:16 NCR 1675 


06/01/96 




.0604 




10:16 NCR 1675 


06/01/96 




.0606 




10:16 NCR 1675 


06/01/96 




.0707 - 


.0709 


10:16 NCR 1675 


06/01/96 




.0711 




10:16 NCR 1675 


06/01/96 




.1104- 


.1108 


10:16 NCR 1675 


06/01/96 


06C 


.0203 




10:05 NCR 300 


09/01/95 


10 






10:15 NCR 1428 




19L 


.0401 




10:16 NCR 1698 


02/01/96 




.0403 




10:16 NCR 1698 


02/01/96 




.0407 




10:16 NCR 1698 


02/01/96 




.0501 - 


.0502 


10:16 NCR 1698 


02/01/96 




.0505 




10:16 NCR 1698 


02/01/96 




.0802 




10:16 NCR 1698 


02/01/96 




.0805 




10:16 NCR 1698 


02/01/96 




.0901 




10:16 NCR 1698 


02/01/96 




.0906 - 


.0907 


10:16 NCR 1698 


02/01/96 




.0911 




10:16 NCR 1698 


02/01/96 




.1002 




10:16 NCR 1698 


02/01/96 



08/01/95 
08/01/95 



08/01/95 
08/01/95 



08/01/95 



08/01/95 



Public Notice 



10:16C 



NORTH CAROLINA REGISTER 



November 15, 1995 2199 



CUMULATIVE INDEX 



Agency/Rule Citation 



Proposed in 
Register 



Proposed 

Effective 

Date 



Fiscal Note 



State Local 



Effective 
Date 



Other Information 



i 







.1004 




10 


16 NCR 1698 


02/01/96 






.1009 




10 


16 NCR 1698 


02/01/96 






.1301 - 


.1303 


10 


16 NCR 1698 


02/01/96 






.1701 - 


.1703 


10 


16 NCR 1698 


02/01/96 






.1801 - 


.1803 


10 


16 NCR 1698 


02/01/96 


COMMUNITY COLLEGES 






23 NCAC 


02C 


.0108 




10:03 NCR 208 


09/01/95 






.0210 




10:07 NCR 587 


01/01/96 






.0211 




10:03 NCR 208 


09/01/95 






.0301 




10:07 NCR 587 


01/01/96 






.0306 




10:03 NCR 208 


09/01/95 




02 E 


.0403 




10:07 NCR 587 


01/01/96 


CORRECTION 










5 NCAC 


05 


.0001 




10:01 NCR 12 


07/01/95 


COSMETIC ART EXAMINERS 






21 NCAC 


14B 


.0604 




10 


12 NCR 985 


12/01/95 




14J 


.0502 




10 


14 NCR 1380 


01/01/96 




14L 


.0301 - 


.0302 


10 


14 NCR 1380 


01/01/96 




14N 


.0106 - 


.0108 


10 


14 NCR 1380 


01/01/96 






.0112 




10 


14 NCR 1380 


01/01/96 


CULTURAl 


. RESOURCES 






7 NCAC 


02 F 


.0002 




10:01 NCR 12 


07/01/95 


DIETETICS/NUTRITION 






21 NCAC 


17 


.0101 - 


.0102 


10:16 NCR 2046 


02/01/96 






.0104 




10:16 NCR 2046 


02/01/96 






.0107 




10:16 NCR 2046 


02/01/96 






.0113 - 


.0114 


10:16 NCR 2046 


02/01/96 






.0301 - 


.0304 


10:16 NCR 2046 


02/01/96 






.0401 - 


.0402 


10:16 NCR 2046 


02/01/96 


DENTAL EXAMINERS 








21 NCAC 


16 






10:16 NCR 2043 


05/01/96 


21 NCAC 


16H 


.0104 




10:16 NCR 2043 


05/01/96 






.0202 - 


.0203 


10:16 NCR 2043 


05/01/96 




16T 


.0001 - 


.0002 


10:16 NCR 2043 


05/01/96 




16U 


.0101 - 


.0102 


10:16 NCR 2043 


05/01/96 






.0201 - 


.0204 


10:16 NCR 2043 


05/01/96 


ELECTRIC 


AL CONTRACTORS 






21 NCAC 


18B 


.0103 




10:15 NCR 1579 


02/01/96 






.0207 




10:15 NCR 1579 


02/01/96 






.0303 




10:15 NCR 1579 


02/01/96 






.0402 




10:15 NCR 1579 


02/01/96 






.0601 




10:15 NCR 1579 


02/01/96 






.0902 - 


.0903 


10:15 NCR 1579 


02/01/96 






.0905 




10:15 NCR 1579 


02/01/96 


ELECTROI 


.YSIS 


EXAMINERS 






21 NCAC 


19 


.0104 




10:11 NCR 907 


12/01/95 






.0204 




10:11 NCR 907 


12/01/95 






.0616 




10 


1 1 NCR 907 


12/01/95 



07/01/95 



08/01/95 



i 



Notice on Subject Matter 



ENVIRONMENT, HEALTH, AND NATURAL RESOURCES 

15A NCAC OIC .0101 10:16 NCR 1828 02/01/96 

.0503 - .0504 10:16 NCR 1828 02/01/96 

02B .0101 10:01 NCR 13 

.0104 10:01 NCR 13 



Correction to Notice 
Correction to Notice 



i 



2200 



NORTH CAROLINA REGISTER 



November 15, 1995 10:16C 



CUMULATIVE INDEX 



Agency/Rule Citatioii 



Proposed in 
Register 



Proposed 

Effective 

Date 



Fiscal Note 



State Local 



Effective 
Date 



Other Information 



.0202 
.0211 
.0216 

.0224 - .0225 
.0301 
.0303 
.0304 
.0304 
.0304 
.0304 

.0308 - .0310 
.0308 
.0313 

.0315 - .0316 
.0315 
.0315 
.0316 
02C .0201 - .0216 



02D 



02H 



02Q 



.0101 

.0501 

.0516 

.0518 - 

.0520 

.0520 

.0521 

.0524 - 

.0531 

.0531 

.0533 

.0535 

.0537 

.0539 

.0601 

.0604 

.0608 

.0804 - 

.0901 

.0902 

.0902 

.0909 

.0917 - 

.0926- 

.0929 

.0934 - 

.0937 

.0951 

.0952 

.0953 - 

.1109- 

.1202 

.1204- 

.1301 - 

.1304 

.1402 

.1406 

.1409 

.1701 - 

.1801 - 

.1901 - 

.0219 

.0610 

.0102 

.0103 



.0519 



.0525 



.0805 



,0924 
,0928 

0935 



,0954 

nil 

1206 
1302 



1702 
1803 
1906 



10:01 NCR 
10:01 NCR 
10:16 NCR 
10:16 NCR 
10:01 NCR 
10:08 NCR 
10:04 NCR 
10:05 NCR 
10:15 NCR 
10:16 NCR 
10:08 NCR 
10:08 NCR 
10:11 NCR 
10:08 NCR 
10:08 NCR 
10:16 NCR 
10:04 NCR 
10:16 NCR 
10:16 NCR 
10:16 NCR 
10:16 NCR 
10:16 NCR 
10:01 NCR 
10:16 NCR 
10:16 NCR 
10:16 NCR 
10:01 NCR 
10:15 NCR 
10:16 NCR 
10:16 NCR 
10:16 NCR 
10:16 NCR 
10:16 NCR 
10:16 NCR 
10:16 NCR 
10:15 NCR 
10:15 NCR 
10:01 NCR 
10:16 NCR 
10:01 NCR 
10:15 NCR 
10:15 NCR 
10:16 NCR 
10:15 NCR 
10:15 NCR 
10:15 NCR 
10:01 NCR 
10:15 NCR 
10:16 NCR 
10:16 NCR 
10:16 NCR 
10:15 NCR 
10:15 NCR 
10:01 NCR 
10:01 NCR 
10:01 NCR 
10:01 NCR 
10:01 NCR 
10:16 NCR 
10:14 NCR 
10:16 NCR 
10:16 NCR 
10:16 NCR 



13 
13 
1838 
1838 
13 
661 
246 
301 
1515 
1846 
661 
661 
901 
661 
661 
1835 
246 
1848 
1867 
1867 
1867 
1867 
13 
1867 
1867 
1867 
13 
1515 
1867 
1867 
1867 
1867 
1867 
1867 
1867 
1515 
1515 
13 
1867 
13 
1515 
1515 
1867 
1515 
1515 
1515 
13 
1515 
1867 
1867 
1867 
1515 
1515 
13 
13 
13 
13 
13 
1867 
1325 
1867 
1867 
1867 



02/01/96 
02/01/96 

11/01/95 
01/01/96 
11/01/95 
04/01/96 
05/01/96 
11/01/95 
02/01/96 
02/01/96 
11/01/95 
02/01/96 
05/01/96 
01/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
07/01/95 
05/01/96 
05/01/96 
05/01/96 
07/01/95 
04/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
04/01/96 
04/01/96 
07/01/95 
05/01/96 
07/01/95 
04/01/96 
04/01/96 
05/01/96 
04/01/96 
04/01/96 
04/01/96 
07/01/95 
04/01/96 
05/01/96 
05/01/96 
05/01/96 
04/01/96 
04/01/96 
07/01/95 
07/01/95 
07/01/95 
07/01/95 
07/01/95 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 



Correction to Notice 
Correction to Notice 



Correction to Notice 



11/01/95 



07/01/95 



07/01/95 
07/01/95 



07/01/95 



07/01/95 



10:16C 



NORTH CAROLINA REGISTER 



November 15, 1995 2201 



CUMULATIVE INDEX 





Agency/Rule Citation 






Fiscal Note 


Effective 
Date 


Other Information 




Proposed in 
Renter 


Effective 
Date 


State 


Local 





.0109 




10;16 NCR 1867 


05/01/96 






.0201 - 


.0204 


10:16 NCR 1867 


05/01/96 






.0207 




10:16 NCR 1867 


05/01/96 






.0302 




10:16 NCR 1867 


05/01/96 






.0311 




10:16 NCR 1867 


05/01/96 






.0401 - 


.0418 


10:15 NCR 1515 


04/01/96 






.0501 - 


.0503 


10:16 NCR 1867 


05/01/96 






.0507 - 


.0508 


10:16 NCR 1867 


05/01/96 






.0526 




10:16 NCR 1867 


05/01/96 




03 






10:15 NCR 1515 


03/01/96 




031 


.0001 




10:14 NCR 1336 


03/01/96 






.0005 




10:14 NCR 1336 


03/01/96 






.0018 




10:14 NCR 1336 


03/01/96 




03J 


.0103 - 


.0104 


10:14 NCR 1336 


03/01/96 






.0107 




10:14 NCR 1336 


03/01/96 X 






.0202 




10:14 NCR 1336 


03/01/96 






.0301 




10:14 NCR 1336 


03/01/96 






.0401 




10:14 NCR 1336 


03/01/96 






.0402 




10:14 NCR 1336 


03/01/96 


'^ 




.0403 




10:15 NCR 1515 


03/01/96 




03 K 


.0104 - 


.0105 


10:14 NCR 1336 


03/01/96 






.0201 - 


.0202 


10:14 NCR 1336 


03/01/96 




03 L 


.0301 - 


.0302 


10:14 NCR 1336 


03/01/96 




03M 


.0202 




10:14 NCR 1336 


03/01/96 






.0204 




10:14 NCR 1336 


03/01/96 






.0301 




10:14 NCR 1336 


03/01/96 






.0501 




10:14 NCR 1336 


03/01/96 






.0503 - 


.0504 


10:14 NCR 1336 


03/01/96 






.0506 - 


.0507 


10:14 NCR 1336 


03/01/96 






.0510- 


.0511 


10:14 NCR 1336 


03/01/96 






.0512 




10:14 NCR 1336 


03/01/96 




03R 


.0003 - 


.0005 


10:14 NCR 1336 


03/01/96 






.0007 




10:14 NCR 1336 


03/01/96 






.0011 




10:14 NCR 1336 


03/01/96 




NPDES Permit 






10:02 NCR 56 






04A 


.0001 




10:07 NCR 579 


10/01/95 


10/01/95 




.0005 




10:07 NCR 579 


10/01/95 


10/01/95 


04B 


.0016 




10:07 NCR 579 


10/01/95 


10/01/95 




.0020 




10:07 NCR 579 


10/01/95 


10/01/95 




.0028 




10:02 NCR 149 


07/01/95 


08/01/95 




.0029 - 


.0030 


10:07 NCR 579 


10/01/95 


10/01/95 


04C 


.0007- 


.0008 


10:07 NCR 579 


10/01/95 


10/01/95 




.0010 




10:07 NCR 579 


10/01/95 


10/01/95 


04D 


.0002 - 


.0003 


10:07 NCR 579 


10/01/95 


10/01/95 


07B 


.0101 




10:09 NCR 751 


12/01/95 X 


X 




.0201 - 


.0216 


10:09 NCR 751 


12/01/95 X 


X 




.0401 - 


.0406 


10:09 NCR 751 


12/01/95 X 


X 




.0501 - 


.0507 


10:09 NCR 751 


12/01/95 X 


X 


07H 


.0106 




10:16 NCR 1921 


04/01/96 






.0208 




10:03 NCR 197 


12/01/95 






.0208 




10:15 NCR 1552 


03/01/96 






.0305 




10:15 NCR 1552 


03/01/96 






,0308 




10:09 NCR 751 


12/01/95 






.0308 




10:15 NCR 1921 


03/01/96 






.0309 - 


.0310 


10:09 NCR 751 


02/01/96 






.1705 




10:09 NCR 751 


12/01/95 






.2201 - 


.2202 


10:03 NCR 204 


12/01/95 






.2203 




10:03 NCR 204 


12/01/95 X 






.2204 - 


.2205 


10:03 NCR 204 


12/01/95 






.2301 - 


.2305 


10:15 NCR 1552 


03/01/96 




07K 


.0103 




10:09 NCR 751 


12/01/95 




07L 






10:16 NCR 1921 


04/01/96 




07M 


.0300 




10:16 NCR 1921 


04/01/96 





i 



Notice on Subject Matter 



i 



Notice on Subject Matter 



Notice of Subject Matter 
Notice of Subject Matter 



I 



2202 



NORTH CAROLINA REGISTER 



November 15, 1995 I0:16C 



CUMULATIVE INDEX 



Agency/Rule Citation 



Proposed in 
Register 



Proposed 

Effective 

Date 



Fiscal Note 



State Local 



Effective 
Date 



Other Information 



.0400 




10:16 NCR 1921 


02/01/97 


lOB .0115 




10:06 NCR 338 


10/01/95 


.0115- 


.0116 


10:16 NCR 1922 


07/01/96 


.0201 - 


.0203 


10:16 NCR 1923 


07/01/96 


.0202- 


.0203 


10:01 NCR 26 


07/01/95 


.0202 




10:04 NCR 249 


08/01/95 


.0208- 


.0209 


10:16 NCR 1923 


07/01/96 


.0214 




10:01 NCR 26 


07/01/95 


.0214 




10:16 NCR 1923 


07/01/96 


.0220 




10:16 NCR 1923 


07/01/96 


.0302 - 


.0303 


10:16 NCR 1923 


07/01/96 


IOC .0205 




10:16 NCR 1923 


07/01/96 


.0301 - 


.0302 


10:16 NCR 1923 


07/01/96 


.0305 




10:16 NCR 1923 


07/01/96 


.0401 




10:16 NCR 1923 


07/01/96 


.0404 




10:06 NCR 338 


12/01/95 


.0404 




10:16 NCR 1923 


07/01/96 


.0407 




10:06 NCR 338 


12/01/95 


.0407 




10:16 NCR 1923 


07/01/96 


lOD .0002 - 


.0003 


10:01 NCR 26 


07/01/95 


.0002- 


.0004 


10:16 NCR 1923 


07/01/96 


.0003 




10:04 NCR 250 


08/01/95 


.0003 




10:06 NCR 338 


09/01/95 


lOF .0313 




10:06 NCR 338 


10/01/95 


.0317 




10:01 NCR 26 


07/01/95 


.0323 - 


.0324 


10:11 NCR 904 


12/01/95 


.0339 




10:13 NCR 1159 


02/01/96 


.0339 




10:15 NCR 1565 


02/01/96 


.0360 




10:13 NCR 1159 


02/01/96 


lOK .0003 




10:13 NCR 1159 


02/01/96 


mation/Striped 


Bass 


10:02 NCR 57 


04/10/95 






10:03 NCR 195 


04/15/95 


11 .0349 




10:16 NCR 1958 


05/01/96 


13A .0006 




10:13 NCR 1160 


01/01/96 


.0019 




10:13 NCR 1160 


01/01/96 


13B .0101 




10:06 NCR 350 


10/01/95 


.0103 




10:06 NCR 350 


10/01/95 


.0503 




10:06 NCR 350 


10/01/95 


.0802 - 


0829 


10:06 NCR 350 


10/01/95 


.0901 - 


.0905 


10:16 NCR 1959 


04/01/96 


.1401 - 


.1409 


10:16 NCR 1959 


04/01/96 


.1627 




10:06 NCR 350 


10/01/95 


16A .1001 




10:07 NCR 582 


01/01/96 


.1002- 


.1006 


10:07 NCR 582 


01/01/96 


18A .1720 




10:16 NCR 1977 


04/01/96 


.1722 - 


.1723 


10:16 NCR 1977 


04/01/96 


.1725- 


.1727 


10:16 NCR 1977 


04/01/96 


.1801 - 


.1814 


10:13 NCR 1160 


01/01/96 


.1818 




10:13 NCR 1160 


01/01/96 


.2508 




10:06 NCR 350 


01/01/96 


.2509 




10:06 NCR 350 


01/01/96 


.2510 - 


.2511 


10:06 NCR 350 


01/01/96 


.2516- 


.2519 


10:06 NCR 350 


01/01/96 


.2521 - 


.2524 


10:06 NCR 350 


01/01/96 


.2526 




10:06 NCR 350 


01/01/96 


.2528 - 


.2535 


10:06 NCR 350 


01/01/96 


.2537 




10:06 NCR 350 


01/01/96 


.2540- 


.2542 


10:06 NCR 350 


01/01/96 


.2543 




10:06 NCR 350 


01/01/96 


.2601 - 


.2602 


10:13 NCR 1160 


01/01/96 


.2618 




10:13 NCR 1160 


01/01/96 


.2624 




10:13 NCR 1160 


01/01/96 


.2632 




10:13 NCR 1160 


01/01/96 



Notice of Subject Matter 



07/01/95 
09/01/95 

07/01/95 



07/01/95 

09/01/95 

10/01/95 
07/01/95 



10/01/95 
10/01/95 
10/01/95 
10/01/95 



N/A 



Agency Did Not Adopt 



01/01/96 

01/01/96 
01/01/96 
01/01/96 
01/01/96 
01/01/96 
01/01/96 
01/01/96 
N/A 



RRC Obj/Rule Withdrawn 



Agency Did Not Adopt 



10:I6C 



NORTH CAROLINA REGISTER 



November 15, 1995 2203 





CUMULATIVE INDEX 










Agency/Rule Citation 


Proposed in 
Register 


Proposed 

Effective 

Date 


Fiscal Note 


Effective 
Date 


Other Information 


State 


Local 





.2635 - 


.2636 


10:13 NCR 1160 


01/01/96 




.2702 




10:16 NCR 1977 


04/01/96 




.3101 - 


.3106 


10:16 NCR 1977 


04/01/96 


19A 


.0401 




10:06 NCR 350 


10/01/95 




.0406 




10:06 NCR 350 


10/01/95 




.0502 




10:06 NCR 350 


10/01/95 


19C 


.0206 




10:05 NCR 305 


10/01/95 




.0601 - 


.0603 


10:16 NCR 1977 


04/01/96 




.0605 - 


.0609 


10:16 NCR 1977 


04/01/96 




.0611 




10:16 NCR 1977 


04/01/96 


19H 


.0702 




10:07 NCR 582 


10/01/95 


20D 


.0233 - 


,0234 


10:13 NCR 1160 


01/01/96 




.0236 




10:13 NCR 1160 


01/01/96 




.0241 - 


.0243 


10:13 NCR 1160 


01/01/96 




.0247 - 


.0252 


10:13 NCR 1160 


01/01/96 


21F 


.0801 - 


.0802 


10:13 NCR 1160 


01/01/96 




.0804 




10:13 NCR 1160 


01/01/96 




.1101 - 


.1103 


10:13 NCR 1160 


01/01/96 




.1105 




10:13 NCR 1160 


01/01/96 


24A 


.0102 




10:13 NCR 1160 


01/01/96 




.0202 - 


.0204 


10:13 NCR 1160 


01/01/96 




.0301 




10:13 NCR 1160 


01/01/95 




.0404 




10:06 NCR 350 


10/01/95 


25 


.0213 




10:16 NCR 1996 


04/01/96 


FINAL DECISION LETTERS 






Voting Rights Act 






10:01 NCR 02 
10:03 NCR 194 
10:05 NCR 298 
10:10 NCR 825 
10:11 NCR 889 
10:13 NCR 1084 
10:15 NCR 1429 





10/01/95 
10/01/95 
10/01/95 



N/A 



Withdrawn by Agency 



10/01/95 



GENERAL CONTRACTORS LICENSING BOARD 

21 NCAC 12 .0302 10:11 NCR 906 12/01/95 

.0410 10:11 NCR 906 12/01/95 



GENERAL STATUTES 



Chapter 150B 


10:13 NCR 1062 


GOVERNOR'S EXECUTIVE ORDERS 


Number 72 


10:01 NCR 01 


Number 73 


10:02 NCR 54 


Number 74 


10:02 NCR 54 


Number 75 


10:03 NCR 191 


Number 76 


10:03 NCR 191 


Number 77 


10:05 NCR 297 


Number 78 


10:06 NCR 336 


Number 79 


10:07 NCR 427 


Number 80 


10:07 NCR 427 


Number 81 


10:08 NCR 639 


Number 82 


10:10 NCR 823 


Number 83 


10:10 NCR 823 


Number 84 


10:12 NCR 981 


Number 85 


10:13 NCR 1061 


Number 86 


10:13 NCR 1061 



03/06/95 
03/15/95 
03/27/95 
03/30/95 
04/03/95 
05/02/95 
05,-23/95 
06/07/95 
06/13/95 
06/27/95 
07/27/95 
08/03/95 
08/24/95 
09/12/95 
09/12/95 



HEARING AID DEALERS AND FITTERS BOARD 

21 NCAC 22A .0203 10:16 NCR 2053 02/01/96 

.0309 10:16 NCR 2053 02/01/96 

22F .0003 - .0004 10:16 NCR 2053 02/01/96 



2204 



NORTH CAROLINA REGISTER 



November 15, 1995 10:16C 



CUMULATIVE INDEX 



) 



Agency /Rule Citation 



Proposed in 
Register 



Proposed 

Effective 

Date 



Fiscal Note 



State Local 



Effective 
Date 



Other Information 



.0007 - .0008 
.0013 - .0014 
.0016 
.0018 

.0020 - .0021 
221 .0008 - .0009 
22K .0004 - .0005 
22L .0001 

.0005 - .0006 
.0009- .0011 
.0013 - .0015 

HUMAN RESOURCES 

10 NCAC 03C .5301 

.5401 - .5414 

03D .0808 

.1301 - .1302 
.1401 

.1401 - 1403 
.1501 - .1503 

03H .0108 - .0109 
.0206 - .0220 
.0306 - .0318 
.0407 - .0409 
.0505 - .0507 
.0510- .0517 
.0605 - .0609 
.0705 - .0712 
.0810- .0812 
.0903 -.091 1 
.1003 - .1008 
.1105 - .1109 
.1130- .1136 
.1150- .1163 
.1204- .1208 
.1210 

.1306- .1308 
.1405 - .1406 
.1408 - .1410 
.1501 - .1503 
.1612 - .1613 
.1703 - .1704 
.1804 - .1807 
.2001 

.2101 - .2110 
.2201 - .2212 
.2301 - .2308 
.2401 - .2402 
.2501 - .2506 
.2601 - .2607 
.2701 

.2801 - .2802 
.2901 - .2902 
.3001 - .3005 
.3011 - .3016 
.3021 - .3032 
.3101 - .3104 
.3201 - .3202 
.3301 - .3302 
.3401 - .3404 

03L .0901 - .0907 
.1001 - .1007 
.1101 - ,1112 



10:16 NCR 2053 


10:16 NCR 2053 


10:16 NCR 2053 


10:16 NCR 2053 


10:16 NCR 2053 


10:16 NCR 2053 


10:16 NCR 2053 


10:16 NCR 2053 


10:16 NCR 2053 


10:16 NCR 2053 


10:16 NCR 2053 


10:14 NCR 1232 


10:14 NCR 1232 


10:14 NCR 1238 


10:14 NCR 1238 


10:08 NCR 


641 


10:14 NCR 1238 


10:14 NCR 1238 


10:02 NCR 


58 


10:02 NCR 


58 


10:02 NCR 


58 


10:02 NCR 


58 


10:02 NCR 


58 


10:02 NCR 


58 


10:02 NCR 


58 


10:02 NCR 


58 


10:02 NCR 


58 


10:02 NCR 


58 


10:02 NCR 


58 


10:02 NCR 


58 


10:02 NCR 


58 


10:02 NCR 


58 


10:02 NCR 


58 


10:02 NCR 


58 


10:02 NCR 


58 


10:02 NCR 


58 


10:02 NCR 


58 


10:02 NCR 


58 


10:02 NCR 


58 


10:02 NCR 


58 


10:02 NCR 


58 


10:02 NCR 


58 


10:02 NCR 


58 


10:02 NCR 


58 


10:02 NCR 


58 


10:02 NCR 


58 


10:02 NCR 


58 


10:02 NCR 


58 


10:02 NCR 


58 


10:02 NCR 


58 


10:02 NCR 


58 


10:02 NCR 


58 


10:02 NCR 


58 


10:02 NCR 


58 


10:02 NCR 


58 


10:02 NCR 


58 


10:02 NCR 


58 


10:02 NCR 


58 


10:08 NCR 


641 


10:08 NCR 


641 


10:08 NCR 


641 



02/01/96 
02/01/96 
02/01/96 
02/01/96 
02/01/96 
02/01/96 
02/01/96 
02/01/96 
02/01/96 
02/01/96 
02/01/96 



03/01/96 
03/01/96 
02/01/96 
02/01/96 
11/01/95 
02/01/96 
02/01/96 
09/01/95 
09/01/95 
09/01/95 
09/01/95 
09/01/95 
09/01/95 
09/01/95 
09/01/95 
09/01/95 
09/01/95 
09/01/95 
09/01/95 
09/01/95 
09/01/95 
09/01/95 
09/01/95 
09/01/95 
09/01/95 
09/01/95 
09/01/95 
09/01/95 
09/01/95 
09/01/95 
09/01/95 
09/01/95 
09/01/95 
09/01/95 
09/01/95 
09/01/95 
09/01/95 
09/01/95 
09/01/95 
09/01/95 
09/01/95 
09/01/95 
09/01/95 
09/01/95 
09/01/95 
09/01/95 
09/01/95 
02/01/96 
02/01/96 
02/01/96 



10:16C 



NORTH CAROLINA REGISTER 



November 15, 1995 2205 



CUMULATIVE INDEX 



Agency/Rule Citatjon 


Proposed in 
Re^ster 


Proposed 

EffectiTe 

Date 


Fiscal Note 


Effective 
Date 


Other Informatioii 


State 


Local 



03 M 



03R 



.1201 - 


.1202 


10:08 NCR 641 


02/01/96 


.1301 - 


.1303 


10:08 NCR 641 


02/01/96 


.1401 - 


.1402 


10:08 NCR 641 


02/01/96 


.0202 - 


.0205 


10:08 NCR 641 


02/01/96 


.0207 




10:08 NCR 641 


02/01/96 


.0109 - 


.0111 


10:14 NCR 1243 


01/01/96 


.0213 - 


.0215 


10:14 NCR 1243 


01/01/96 


.0303 - 


.0305 


10:14 NCR 1243 


01/01/96 


.0317 




10:14 NCR 1243 


01/01/96 


.0904 




10:14 NCR 1243 


01/01/96 


.1003 




10:14 NCR 1243 


01/01/96 


.1113 




10:14 NCR 1243 


01/01/96 


.1115- 


.1120 


10:14 NCR 1243 


01/01/95 


.1124- 


.1127 


10:14 NCR 1243 


01/01/96 


.1214 




10:14 NCR 1243 


01/01/96 


.1216 




10:14 NCR 1243 


01/01/96 


.1218 - 


.1219 


10:14 NCR 1243 


01/01/96 


.1302 




10:14 NCR 1243 


01/01/96 


.1304- 


.1309 


10:14 NCR 1243 


01/01/96 


.1413 - 


.1414 


10:14 NCR 1243 


01/01/96 


.1418 - 


.1419 


10:14 NCR 1243 


01/01/96 


.1613 - 


,1615 


10:14 NCR 1243 


01/01/96 


.1618- 


.1619 


10:14 NCR 1243 


01/01/96 


.1713 - 


.1714 


10:14 NCR 1243 


01/01/96 


.1719- 


.1720 


10:14 NCR 1243 


01/01/96 


.1912- 


.1914 


10:14 NCR 1243 


01/01/96 


.1916- 


.1918 


10:14 NCR 1243 


01/01/96 


.2002 




10:14 NCR 1243 


01/01/96 


.2004 - 


.2011 


10:14 NCR 1243 


01/01/96 


.2117 




10:14 NCR 1243 


01/01/96 


.2120 




10:14 NCR 1243 


01/01/96 


.2319- 


.2320 


10:14 NCR 1243 


01/01/96 


.2402 




10:14 NCR 1243 


01/01/96 


.2404- 


.2412 


10:14 NCR 1243 


01/01/96 


.2502 - 


.2512 


10:14 NCR 1243 


01/01/96 


.2603 




10:14 NCR 1243 


01/01/96 


.2605 




10:14 NCR 1243 


01/01/96 


.2607 - 


.2610 


10:14 NCR 1243 


01/01/96 


.2612- 


.2613 


10:14 NCR 1243 


01/01/96 


.2718- 


.2719 


10:14 NCR 1243 


01/01/96 


.2802 - 


.2807 


10:14 NCR 1243 


01/01/96 


.2809 - 


.2810 


10:14 NCR 1243 


01/01/96 


.3103 




10:14 NCR 1243 


01/01/96 


.3107- 


.3108 


10:14 NCR 1243 


01/01/96 


.3204 




10:14 NCR 1243 


01/01/96 


.3206 - 


.3207 


10:14 NCR 1243 


01/01/96 


.3306 




10:14 NCR 1243 


01/01/96 


.3401 




10:14 NCR 1243 


01/01/96 


.3406- 


.3407 


10:14 NCR 1243 


01/01/96 


.3502 - 


.3503 


10:14 NCR 1243 


01/01/96 


.3506 - 


.3507 


10:14 NCR 1243 


01/01/96 


.3606 - 


,3507 


10:14 NCR 1243 


01/01/96 


.3706 - 


.3707 


10:14 NCR 1243 


01/01/96 


.3806 - 


.3807 


10:14 NCR 1243 


01/01/96 


.3902- 


.3904 


10:14 NCR 1243 


01/01/96 


.3907- 


.3909 


10:14 NCR 1243 


01/01/96 


.4002 


.4008 


10:14 NCR 1243 


01/01/96 


.4010- 


,4012 


10:14 NCR 1243 


01/01/96 


.4102 - 


.4107 


10:14 NCR 1243 


01/01/96 


.4202 




10:14 NCR 1243 


01/01/96 


.4204 




10:14 NCR 1243 


01/01/96 


.4206 - 


.4207 


10:14 NCR 1243 


01/01/96 


.7001 - 


.7008 


10:14 NCR 1291 


01/01/96 



2206 



NORTH CAROLINA REGISTER 



November 15, 1995 10:16C 



CUMULATIVE INDEX 



Agency/Rule Citation 


Proposed in 
Register 


Proposed 

Effective 

Date 


Fiscal Note 


Effective 
Date 


Other Information 


State 


Local 



03T .0102 




10:14 NCR 1297 


02/01/96 


.0201 - 


.0210 


10:14 NCR 1297 


02/01/96 


.0301 - 


.0303 


10:14 NCR 1297 


02/01/96 


.0401 - 


.0403 


10:14 NCR 1297 


02/01/96 


.0501 - 


.0505 


10:14 NCR 1297 


02/01/96 


.0601 - 


.0605 


10:14 NCR 1297 


02/01/96 


.0701 - 


.0703 


10:14 NCR 1297 


02/01/96 


.0801 - 


.0803 


10:14 NCR 1297 


02/01/96 


.0901 - 


.0902 


10:14 NCR 1297 


02/01/96 


.1001 - 


.1002 


10:14 NCR 1297 


02/01/96 


.1102 




10:14 NCR 1297 


02/01/96 


.1113 




10:14 NCR 1297 


02/01/96 


.1116 




10:14 NCR 1297 


02/01/96 


.1202 




10:14 NCR 1297 


02/01/96 


.1204 




10:14 NCR 1297 


02/01/96 


.1212 




10:14 NCR 1297 


02/01/96 


14B .0501 - 


.0503 


10:07 NCR 


430 


05/01/96 


.0505 - 


.0509 


10:07 NCR 


430 


05/01/96 


14C .1001 - 


.1006 


10:15 NCR 1435 


02/01/96 


.1008 




10:15 NCR 1435 


02/01/96 


.1010- 


.1018 


10:15 NCR 1435 


02/01/96 


.1101 - 


.1105 


10:15 NCR 1435 


02/01/96 


.1107 




10:15 NCR 1435 


02/01/96 


.1110- 


.1111 


10:15 NCR 1435 


02/01/96 


.1114- 


.1121 


10:15 NCR 1435 


02/01/96 


.1123 




10:15 NCR 1435 


02/01/96 


.1125- 


.1131 


10:15 NCR 1435 


02/01/96 


.1133 - 


.1160 


10:15 NCR 1435 


02/01/96 


14D .0006 




10:15 NCR 1435 


02/01/96 


14K .0101 - 


.0103 


10:07 NCR 


430 


05/01/96 


.0201 - 


.0219 


10:07 NCR 


430 


05/01/96 


.0301 - 


.0310 


10:07 NCR 


430 


05/01/96 


.0312- 


.0315 


10:07 NCR 


430 


05/01/96 


.0317- 


.0324 


10:07 NCR 


430 


05/01/96 


.0326 - 


.0329 


10:07 NCR 


430 


05/01/96 


.0333 - 


.0348 


10:07 NCR 


430 


05/01/96 


.0350 - 


.0365 


10:07 NCR 


430 


05/01/96 


.0401 - 


.0408 


10:07 NCR 


430 


05/01/96 


14L .0101 - 


.0106 


10:07 NCR 


430 


05/01/96 


.0201 - 


.0203 


10:07 NCR 


430 


05/01/96 


.0301 - 


.0308 


10:07 NCR 


430 


05/01/96 


.0310 




10:07 NCR 


430 


05/01/96 


.0401 - 


.0407 


10:07 NCR 


430 


05/01/96 


.0601 - 


.0606 


10:07 NCR 


430 


05/01/96 


.0609 




10:07 NCR 


430 


05/01/96 


.0611 - 


.0615 


10:07 NCR 


430 


05/01/96 


.0701 - 


.0709 


10:07 NCR 


430 


05/01/96 


.0711 - 


.0712 


10:07 NCR 


430 


05/01/96 


14M .0101 - 


.0113 


10:07 NCR 


430 


05/01/96 


.0501 - 


.0511 


10:07 NCR 


430 


05/01/96 


.0601 - 


.0602 


10:07 NCR 


430 


05/01/96 


.0604 




10:07 NCR 


430 


05/01/96 


.0606 




10:07 NCR 


430 


05/01/96 


.0608 - 


.0612 


10:07 NCR 


430 


05/01/96 


.0614- 


.0615 


10:07 NCR 


430 


05/01/96 


.0617- 


.0621 


10:07 NCR 


430 


05/01/96 


.0701 - 


.0716 


10:07 NCR 


430 


05/01/96 


14N .0101 - 


.0107 


10:07 NCR 


430 


05/01/96 


.0201 - 


.0207 


10:07 NCR 


430 


05/01/96 


.0301 - 


.0307 


10:07 NCR 


430 


05/01/96 


.0401 - 


.0406 


10:07 NCR 


430 


05/01/96 


.0501 - 


.0507 


10:07 NCR 


430 


05/01/96 


.0701 




10:07 NCR 


430 


05/01/96 



10:16C 



NORTH CAROLINA REGISTER 



November 15, 1995 2207 



CUMULATIVE INDEX 





Agency/Rule Citation 


Proposed in 
Register 


Proposed 

Effective 

Date 


Fiscal Note 


Effective 
Date 


Other Information 


State 


Local 



.0703 - 


.0705 


10;07 NCR 430 


05/01/96 


.0801 - 


.0811 


10:07 NCR 430 


05/01/96 


.0901 - 


.0905 


10:08 NCR 656 


05/01/96 


140 .0301 - 


.0314 


10:07 NCR 430 


05/01/96 


.0401 - 


.0409 


10:07 NCR 430 


05/01/96 


.0411 - 


.0416 


10:07 NCR 430 


05/01/96 


.0501 - 


.0505 


10:07 NCR 430 


05/01/96 


.0601 ■ 


.0609 


10:07 NCR 430 


05/01/96 


.0611 - 


.0615 


10:07 NCR 430 


05/01/96 


.0617 - 


.0618 


10:07 NCR 430 


05/01/96 


.0701 - 


.0710 


10:07 NCR 430 


05/01/96 


14V 




10:15 NCR 1479 


05/01/96 


14V .0101 - 


.0104 


10:07 NCR 430 


05/01/96 


.0101 - 


.0104 


10:13 NCR 1085 


05/01/96 


.0201 - 


.0208 


10:07 NCR 430 


05/01/96 


.0201 - 


.0208 


10:13 NCR 1085 


05/01/96 


.0301 - 


.0304 


10:07 NCR 430 


05/01/96 


.0301 - 


.0304 


10:13 NCR 1085 


05/01/96 


.0401 - 


.0405 


10:07 NCR 430 


05/01/96 


.0401 - 


.0405 


10:13 NCR 1085 


05/01/96 


.0501 - 


.0505 


10:07 NCR 430 


05/01/96 


.0501 - 


.0505 


10:13 NCR 1085 


05/01/96 


.0601 - 


.0604 


10:07 NCR 430 


05/01/96 


.0601 - 


.0607 


10:13 NCR 1085 


05/01/96 


.0701 - 


.0712 


10:07 NCR 430 


05/01/96 


.0701 - 


.0713 


10:13 NCR 1085 


05/01/96 


.0801 - 


.0805 


10:07 NCR 430 


05/01/96 


.0801 - 


.0805 


10:13 NCR 1085 


05/01/96 


.1101 - 


.1103 


10:07 NCR 430 


05/01/96 


.1101 - 


.1103 


10:13 NCR 1085 


05/01/96 


.1201 - 


.1203 


10:07 NCR 430 


05/01/96 


.1201 - 


,1203 


10:13 NCR 1085 


05/01/96 


.1301 - 


.1303 


10:07 NCR 430 


05/01/96 


.1301 - 


.1304 


10:13 NCR 1085 


05/01/96 


.1401 - 


.1403 


10:07 NCR 430 


05/01/96 


.1401 - 


.1403 


10:13 NCR 1085 


05/01/96 


.1501 - 


.1504 


10:07 NCR 430 


05/01/96 


.1501 - 


.1504 


10:13 NCR 1085 


05/01/96 


.2101 - 


.2104 


10:07 NCR 430 


05/01/96 


.2101 - 


.2104 


10:13 NCR 1085 


05/01/96 


.2201 - 


.2204 


10:07 NCR 430 


05/01/96 


.2201 - 


.2204 


10:13 NCR 1085 


05/01/96 


.2301 - 


.2306 


10:07 NCR 430 


05/01/96 


.2301 - 


.2306 


10:13 NCR 1085 


05/01/96 


.2401 - 


.2404 


10:07 NCR 430 


05/01/96 


.2401 - 


.2404 


10:13 NCR 1085 


05/01/96 


.2501 - 


.2505 


10:07 NCR 430 


05/01/96 


.2501 - 


.2505 


10:13 NCR 1085 


05/01/96 


.3101 - 


.3103 


10:07 NCR 430 


05/01/96 


.3101 - 


.3103 


10:13 NCR 1085 


05/01/96 


.3201 - 


.3203 


10:07 NCR 430 


05/01/96 


.3201 - 


.3203 


10:13 NCR 1085 


05/01/96 


.3301 - 


.3303 


10:07 NCR 430 


05/01/96 


.3301 - 


.3303 


10:13 NCR 1085 


05/01/96 


.3401 - 


.3403 


10:07 NCR 430 


05/01/96 


.3401 - 


.3403 


10:13 NCR 1085 


05/01/96 


.3501 - 


.3503 


10:07 NCR 430 


05/01/96 


.3501 - 


.3503 


10:13 NCR 1085 


05/01/96 


.3601 - 


.3604 


10:07 NCR 430 


05/01/96 


.3601 - 


.3604 


10:13 NCR 1085 


05/01/96 


.3701 - 


.3703 


10:07 NCR 430 


05/01/96 


.3701 - 


.3703 


10:13 NCR 1085 


05/01/96 


.3801 - 


.3803 


10:07 NCR 430 


05/01/96 



Notice on Subject Matter 
Agency Did Not Adopt 

Agency Did Not Adopt 

Agency Did Not Adopt 

Agency Did Not Adopt 

Agency Did Not Adopt 

Agency Did Not Adopt 

Agency Did Not Adopt 

Agency Did Not Adopt 

Agency Did Not Adopt 

Agency Did Not Adopt 

Agency Did Not Adopt 

Agency Did Not Adopt 

Agency Did Not Adopt 

Agency Did Not Adopt 

Agency Did Not Adopt 

Agency Did Not Adopt 

Agency Did Not Adopt 

Agency Did Not Adopt 

Agency Did Not Adopt 

Agency Did Not Adopt 

Agency Did Not Adopt 

Agency Did Not Adopt 

Agency Did Not Adopt 

Agency Did Not Adopt 

Agency Did Not Adopt 

Agency Did Not Adopt 



2208 



NORTH CAROLINA REGISTER 



November 15, 1995 10:16C 



CUMULATIVE INDEX 



Agency /Rule Citation 



Proposed La 
Register 



Proposed 

Effective 

Date 



Fiscal Note 



State Local 



Effective 
Date 



Other Information 



.3801 - 


.3803 


10:13 NCR 1085 


05/01/96 


.3901 - 


.3903 


10:07 NCR 430 


05/01/96 


, .3901 - 


.3903 


10:13 NCR 1085 


05/01/96 


.4001 - 


.4003 


10:07 NCR 430 


05/01/96 


.4001 - 


.4003 


10:13 NCR 1085 


05/01/96 


.4101 - 


.4104 


10:07 NCR 430 


05/01/96 


.4101 - 


.4104 


10:13 NCR 1085 


05/01/96 


.4201 - 


.4203 


10:13 NCR 1085 


05/01/96 


.5001 - 


.5002 


10:07 NCR 430 


05/01/96 


.5001 - 


.5003 


10:13 NCR 1085 


05/01/96 


.5101 - 


.5104 


10:07 NCR 430 


05/01/96 


.5101 - 


.5104 


10:13 NCR 1085 


05/01/96 


.5201 - 


.5204 


10:07 NCR 430 


05/01/96 


.5201 - 


.5204 


10:13 NCR 1085 


05/01/96 


.5301 - 


.5303 


10:07 NCR 430 


05/01/96 


.5301 - 


.5303 


10:13 NCR 1085 


05/01/96 


.5401 - 


.5403 


10:07 NCR 430 


05/01/96 


.5401 - 


.5403 


10:13 NCR 1085 


05/01/96 


.5501 - 


.5503 


10:07 NCR 430 


05/01/96 


.5501 - 


.5503 


10:13 NCR 1085 


05/01/96 


.5601 - 


.5603 


10:07 NCR 430 


05/01/96 


.5601 - 


.5603 


10:13 NCR 1085 


05/01/96 


.5701 - 


.5703 


10:07 NCR 430 


05/01/96 


.5701 - 


.5703 


10:13 NCR 1085 


05/01/96 


.5801 - 


.5804 


10:07 NCR 430 


05/01/96 


.5801 - 


.5804 


10:13 NCR 1085 


05/01/96 


.5901 - 


.5903 


10:07 NCR 430 


05/01/96 


.5901 - 


.5903 


10:13 NCR 1085 


05/01/96 


.6001 - 


.6003 


10:07 NCR 430 


05/01/96 


.6001 - 


.6003 


10:13 NCR 1085 


05/01/96 


.6101 - 


.6103 


10:07 NCR 430 


05/01/96 


.6101 - 


.6103 


10:13 NCR 1085 


05/01/96 


.6201 - 


.6202 


10:07 NCR 430 


05/01/96 


.6201 - 


.6202 


10:13 NCR 1085 


05/01/96 


.6301 - 


.6303 


10:07 NCR 430 


05/01/96 


.6301 - 


.6303 


10:13 NCR 1085 


05/01/96 


.6401 - 


.6403 


10:07 NCR 430 


05/01/96 


.6401 - 


.6403 


10:13 NCR 1085 


05/01/96 


.6501 - 


.6503 


10:07 NCR 430 


05/01/96 


.6501 - 


.6503 


10:13 NCR 1085 


05/01/96 


.6601 - 


.6603 


10:07 NCR 430 


05/01/96 


.6601 - 


.6603 


10:13 NCR 1085 


05/01/96 


.6701 - 


.6702 


10:07 NCR 430 


05/01/96 


.6701 - 


.6702 


10:13 NCR 1085 


05/01/96 


.6801 - 


.6802 


10:07 NCR 430 


05/01/96 


.6801 - 


.6802 


10:13 NCR 1085 


05/01/96 


.6901 - 


.6903 


10:07 NCR 430 


05/01/96 


.6901 - 


.6903 


10:13 NCR 1085 


05/01/96 


15A .0115- 


.0127 


10:13 NCR 1085 


01/01/96 


.0205- 


.0228 


10:13 NCR 1085 


01/01/96 


18A .0124 - 


.0128 


10:07 NCR 430 


05/01/96 


.0130 




10:07 NCR 430 


05/01/96 


.0132 - 


.0133 


10:07 NCR 430 


05/01/96 


.0135 - 


.0136 


10:07 NCR 430 


05/01/96 


18D .0209 




10:14 NCR 1311 


01/01/96 


18F .0115- 


.0117 


10:14 NCR 1311 


01/01/96 


181 .0114- 


.0120 


10:07 NCR 430 


05/01/96 


18J .0110- 


.0119 


10:07 NCR 430 


05/01/96 


.0212 - 


.0213 


10:07 NCR 430 


05/01/96 


.0304 - 


.0311 


10:07 NCR 430 


05/01/96 


.0507 - 


.0511 


10:08 NCR 656 


05/01/96 


.0601 - 


.0604 


10:07 NCR 430 


05/01/96 


.0701 - 


.0715 


10:07 NCR 430 


05/01/96 



Agency Did Not Adopt 
Agency Did Not Adopt 
Agency Did Not Adopt 

Agency Did Not Adopt 
Agency Did Not Adopt 
Agency Did Not Adopt 
Agency Did Not Adopt 
Agency Did Not Adopt 
Agency Did Not Adopt 
Agency Did Not Adopt 
Agency Did Not Adopt 
Agency Did Not Adopt 
Agency Did Not Adopt 
Agency Did Not Adopt 
Agency Did Not Adopt 
Agency Did Not Adopt 
Agency Did Not Adopt 
Agency Did Not Adopt 
Agency Did Not Adopt 
Agency Did Not Adopt 
Agency Did Not Adopt 
Agency Did Not Adopt 
Agency Did Not Adopt 



10:16C 



NORTH CAROLINA REGISTER 



November 15, 1995 2209 





CUMULATIVE INDEX 










Ageocy/Rule Citation 


Proposed in 
Register 


Proposed 

Effective 

Date 


Fiscal Note 


Effective 
Date 


Other Information 


State 


Local 





.0801 - 


.0805 




.0803 




18K 


.0109 - 


.0116 




,0262- 


.0263 


18L 


.0107- 


.0108 




.0223 - 


.0224 




.0331 - 


.0336 




.0338 - 


.0339 




.0428 - 


.0434 




.0504 






.0511 






.0513 






.0601 - 


.0607 




.0701 - 


.0705 




.0707 






.0801 






.0803 - 


.0809 




.0901 - 


.0904 




.1001 - 


.1006 




.1101 - 


.1103 




.1105 - 


.1107 




.1201 






.1203 - 


.1206 




.1301 - 


.1309 




.1401 - 


.1403 




.1501 - 


.1525 


18M 


.0107- 


.0110 




,0206 - 


.0213 




0304- 


.0307 




.0406 - 


,0409 




,0505 - 


.0506 




,0607 - 


.0608 




.0701 






.0703 - 


.0706 




.0708 - 


.0714 




.0801 - 


.0803 




.0817- 


.0819 




.0824 - 


.0838 




.0901 - 


.0908 




.1001 - 


.1009 




.1101 - 


.1106 




.1203 - 


.1204 




.1302- 


.1305 




.1401 - 


.1403 




.1405- 


.1410 


18N 


.0105- 


.0110 




.0204 - 


.0212 




.0305 - 


.0306 




.0601 - 


.0605 




.0701 - 


.0709 


180 


.0517- 


.0524 


18P 


.0901 - 


.0903 




.1001 - 


.1004 


18Q 


.0284 






.0286 - 


.0287 




.0520 - 


.0521 




.0538 - 


.0552 


19C 


.0209 






.0408 ■ 


.0410 




.0504 






.0509 - 


.0512 




.0602 






.0604 





10:07 NCR 


430 


10:02 NCR 


118 


10:07 NCR 


430 


10:08 NCR 


656 


10:07 NCR 


430 


10:07 NCR 


430 


10:07 NCR 


430 


10:07 NCR 


430 


10:07 NCR 


430 


10:07 NCR 


430 


10:07 NCR 


430 


10:07 NCR 


430 


10:08 NCR 


656 


10:07 NCR 


430 


10:07 NCR 


430 


10:07 NCR 


430 


10:07 NCR 


430 


10:07 NCR 


430 


10:07 NCR 


430 


10:07 NCR 


430 


10:07 NCR 


430 


10:07 NCR 


430 


10:07 NCR 


430 


10:07 NCR 


430 


10:07 NCR 


430 


10:07 NCR 


430 


10:07 NCR 


430 


10:07 NCR 


430 


10:07 NCR 


430 


10:07 NCR 


430 


10:07 NCR 


430 


10:07 NCR 


430 


10:07 NCR 


430 


10:07 NCR 


430 


10:07 NCR 


430 


10:07 NCR 


430 


10:07 NCR 


430 


10:07 NCR 


430 


10:07 NCR 


430 


10:07 NCR 


430 


10:07 NCR 


430 


10:07 NCR 


430 


10:07 NCR 


430 


10:07 NCR 


430 


10:07 NCR 


430 


10:07 NCR 


430 


10:07 NCR 


430 


10:07 NCR 


430 


10:08 NCR 


656 


10:08 NCR 


656 


10:08 NCR 


656 


10:07 NCR 


430 


10:07 NCR 


430 


10:07 NCR 


430 


10:07 NCR 


430 


10:07 NCR 


430 


10:07 NCR 


430 


10:16 NCR 1708 


10:16 NCR 1708 


10:16 NCR 1708 


10:16 NCR 1708 


10:16 NCR 


1708 


10:16 NCR 


1708 



05/01/96 
07/01/95 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
05/01/96 
02/01/96 
02/01/96 
02/01/96 
02/01/96 
02/01/96 
02/01/96 



i 



07/01/95 



i 



< 



2210 



NORTH CAROLINA REGISTER 



November 15, 1995 10:16C 



CUMULATIVE INDEX 



Agency/Rule CHatioii 


Proposed in 
Register 


Proposed 

Effective 

Date 










Fiscal syoie 


Effective 




Sute 


Local 


Date 







.0702 - 


.0703 


10:16 NCR 1708 


02/01/96 






19G 


.0501 - 
.0603 


.0502 


10:14 NCR 1312 
10:14 NCR 1312 


01/01/96 
01/01/96 








.0606- 


.0612 


10:14 NCR 1312 


01/01/96 








.0803 




10:14 NCR 1312 


01/01/96 








0806 




10:14 NCR 1312 


01/01/96 








.0817 




10:14 NCR 1312 


01/01/96 








.0823 




10:14 NCR 1312 


01/01/96 






20A 


.0102 




10:16 NCR 1716 


02/01/96 






20B 


.0204 - 


.0206 


10:16 NCR 1716 


02/01/96 








.0208 - 


.0210 


10:16 NCR 1716 


02/01/96 








.0218 




10:16 NCR 1716 


02/01/96 








.0222 




10:16 NCR 1716 


02/01/96 








.0224 




10:16 NCR 1716 


02/01/96 








.0226 - 


.0227 


10:16 NCR 1716 


02/01/96 






20C 


.0205 




10:16 NCR 1716 


02/01/96 


X 






.0316 




10:16 NCR 1716 


02/01/96 


X 




26B 


.0110 
.0112 
.0113 




10:08 NCR 660 
10:16 NCR 1721 
10:16 NCR 1721 


10/01/95 
02/01/96 
02/01/96 




10/01/95 




.0124 




10:02 NCR 118 


07/01/95 


X 


07/01/95 


26G 


.0703 - 


.0705 


10:12 NCR 982 


12/01/95 






26H 


.0212 - 


.0213 


10:13 NCR 1153 


01/01/96 


X 






.0213 




10:02 NCR 118 


07/01/95 




07/01/95 




.0213 




10:14 NCR 1317 


01/01/96 


X 






.0302 




10:04 NCR 228 


08/01/95 


X 


08/01/95 




.0304 - 


.0305 


10:04 NCR 228 


08/01/95 


X 


08/01/95 




.0308 - 


.0309 


10:04 NCR 228 


08/01/95 


X 


08/01/95 




.0508 




10:12 NCR 982 


12/01/95 






261 


.0101 - 


.0107 


10:10 NCR 826 


11/01/95 






26K 


,0006 




10:15 NCR 1479 


02/01/96 






39D 


.0302 - 


.0303 


10:09 NCR 722 


11/01/95 








.0304 




10:15 NCR 1483 


02/01/96 


X 




41F 


.0706 




10:03 NCR 196 


08/01/95 




08/01/95 




.0812 




10:03 NCR 196 


08/01/95 




08/01/95 


42B 


.1209 




10:13 NCR 1158 


01/01/96 






42C 


.2010 




10:13 NCR 1158 


01/01/96 






42D 


.1409 




10:13 NCR 1158 


01/01/96 






42H 


.0911 




10:09 NCR 722 


12/01/95 






42W 


.0001 - 


.0002 


10:10 NCR 828 


11/01/95 






46A 


.0001 
.0005 




10:16 NCR 1724 
10:16 NCR 1724 


02/01/96 
02/01/96 






46C 


.0107 




10:16 NCR 1724 


02/01/96 






46D 


.0101 
.0103 




10:16 NCR 1724 
10:16 NCR 1724 


02/01/96 
02/01/96 








.0105 - 


.0107 


10:16 NCR 1724 


02/01/96 








.0202 




10:16 NCR 1724 


02/01/96 






46E 


.0108 - 
.0111 


.0109 


10:16 NCR 1724 
10:16 NCR 1724 


02/01/96 
02/01/96 






46F 


.0107 - 
.0110 


.0108 


10:16 NCR 1724 
10:16 NCR 1724 


02/01/96 
02/01/96 






46G 


.0110 
.0113 
.0214 




10:16 NCR 1724 
10:16 NCR 1724 
10:16 NCR 1724 


02/01/96 
02/01/96 
02/01/96 






46H 


.0101 




10:16 NCR 1724 


02/01/96 








.0103 - 


.0105 


10:16 NCR 1724 


02/01/96 








.0108 




10:16 NCR 1724 


02/01/96 








.0110 




10:16 NCR 1724 


02/01/96 








.0201 - 


.0203 


10:16 NCR 1724 


02/01/96 








.0206 - 


.0207 


10:16 NCR 1724 


02/01/96 






47B 


.0404- 


.0405 


10:15 NCR 1483 


02/01/96 






49B 


.0102 




10:15 NCR 1483 


02/01/96 






49C 


.0107 




10:16 NCR 1731 


02/01/96 


X 





I0:16C 



NORTH CAROLINA REGISTER 



November 15, 1995 2211 



CUMULATIVE INDEX 



Ageocy/Rule Citatioo 


Proposed in 
Register 


Proposed 

Effective 

Date 


Fiscal Note 


Effective 
Date 


Other Informatioa 


State 


Local 



SOB 


.0313 




10 


14 NCR 1321 


01/01/96 


SOD 


.0101 - 


.0103 


10 


15 NCR 1479 


02/01/96 




.0201 




10 


15 NCR 1479 


02/01/96 




.0301 - 


.0302 


10 


15 NCR 1479 


02/01/96 




.0401 - 


.0402 


10 


15 NCR 1479 


02/01/96 




.0501 - 


.0503 


10 


15 NCR 1479 


02/01/96 


INSURANCE 










11 NCAC 04 


.0120- 


.0124 


10:15 NCR 1489 


02/01/96 




.0421 - 


.0422 


10:15 NCR 1489 


02/01/96 




.0429 - 


.0430 


10:15 NCR 1489 


02/01/96 




.0501 - 


.0509 


10:16 NCR 1732 


01/01/97 


06A 


.0201 




10:16 NCR 1738 


02/01/96 




.0217 




10:16 NCR 1738 


02/01/96 




.0225 - 


.0226 


10:16 NCR 1738 


02/01/96 




.0234- 


.0236 


10:16 NCR 1738 


02/01/96 




.0240 




10:16 NCR 1738 


02/01/96 




.0301 • 


.0302 


10:16 NCR 1738 


02/01/96 




0304 - 


.0306 


10:16 NCR 1738 


02/01/96 




.0402 




10:16 NCR 1738 


02/01/96 




.0410 




10:16 NCR 1738 


02/01/96 




.0413 




10:16 NCR 1738 


02/01/96 




.0417 




10:16 NCR 1738 


02/01/96 




.0501 




10:16 NCR 1738 


02/01/96 




0701 - 


.0705 


10:16 NCR 1738 


02/01/96 




.0808 - 


.0810 


10:16 NCR 1738 


02/01/96 




.0812 




10:04 NCR 246 


08/01/95 




.0813 




10:16 NCR 1738 


02/01/96 




.0901 - 


.0904 


10:16 NCR 1738 


02/01/96 


09 


.0101 - 


.0104 


10:15 NCR 1490 


02/01/96 




0201 - 


.0203 


10:15 NCR 1490 


02/01/96 


10 


.0105 




10:15 NCR 1492 


02/01/96 




.0605 




10:15 NCR 1492 


02/01/96 




.1102- 


.1103 


10:15 NCR 1492 


02/01/96 




.1110- 


.1111 


10:15 NCR 1492 


02/01/96 




.1603 




10:15 NCR 1492 


02/01/96 


IIB 


.0111 




10:15 NCR 1503 


02/01/96 




.0114 




10:15 NCR 1503 


02/01/96 




.0140 - 


.0142 


10:15 NCR 1503 


02/01/96 




0146 




10:15 NCR 1503 


02/01/96 




.0148 




10:15 NCR 1503 


02/01/96 




.0302 - 


.0306 


10:15 NCR 1503 


02/01/96 




.0601 - 


.0602 


10:16 NCR 1751 


02/01/96 




.0604 




10:16 NCR 1751 


02/01/96 




.0607 




10:16 NCR 1751 


02/01/96 




.0610 




10:16 NCR 1751 


02/01/96 




.0612 




10:16 NCR 1751 


02/01/96 




.0616 - 


.0617 


10:16 NCR 1751 


02/01/96 


lie 


.0112- 


.0113 


10:15 NCR 1503 


02/01/96 




.0118 




10:15 NCR 1503 


02/01/96 




.0132 




10:15 NCR 1503 


02/01/96 




.0313 




10:15 NCR 1503 


02/01/96 




.0504 - 


.0505 


10:15 NCR 1503 


02 '01/96 


llD 


.0108 - 


.0109 


10:15 NCR 1503 


02 01/96 




.0302 - 


.0305 


10:15 NCR 1503 


02 1 /96 


IIF 


.0401 - 


.0405 


10:16 NCR 1756 


02,01/97 


12 


.0307 




10:16 NCR 1764 


02/01/96 




.0326 




10:16 NCR 1764 


02,01/96 




.0415 - 


.0416 


10:16 NCR 1764 


O2.'01/96 




.0436 




10:16 NCR 1764 


02/01/96 




.0449 




10:16 NCR 1764 


02/01/96 




.0460 




10:16 NCR 1764 


02/01/96 




.0514 




10:16 NCR 1762 


02/01/96 



i 



08/01/95 



i 



i 



2212 



NORTH CAROLINA REGISTER 



November 15, 1995 10:16C 



CUMULATIVE INDEX 



Agency/Rule Citation 


Proposed in 
Register 


Proposed 

Effective 

Date 


Fiscal Note 


Effective 
Date 


Other Information 


State 


Local 







.0552 




10 


16 NCR 1764 


02/01/96 






.0562 




10 


16 NCR 1764 


02/01/96 






.0822 




10 


16 NCR 1764 


02/01/96 






.0824 - 


.0825 


10 


16 NCR 1764 


02/01/96 






.0835 




10 


16 NCR 


1764 


02/01/96 






.0837 




10 


16 NCR 1764 


02/01/96 






.0839 




10 


16 NCR 1764 


02/01/96 






.0901 




10 


16 NCR 1787 


03/01/96 






.0918- 


.0919 


10 


16 NCR 1787 


03/01/96 






.1004 




10 


16 NCR 1764 


02/01/96 






.1601 - 


.1604 


10 


16 NCR 1764 


02/01/96 






.1701 - 


.1709 


10 


16 NCR 1764 


02/01/96 




13 


.0317 




10 


15 NCR 1513 


02/01/96 






.0319 




10 


15 NCR 1513 


02/01/96 




14 


.0202 




10 


15 NCR 1503 


02/01/96 






.0430 - 


.0432 


10 


15 NCR 1503 


02/01/96 






.0603 




10 


15 NCR 1503 


02/01/96 






.0705 




10 


15 NCR 1503 


02/01/96 




16 


.0602 




10 


15 NCR 1514 


02/01/96 






.0704 




10 


11 NCR 


900 


12/01/95 




17 


.0003 




10 


16 NCR 1787 


02/01/96 






.0006 




10 


16 NCR 1764 


02/01/96 




20 


.0101 




10 


16 NCR 1787 


03/01/96 






.0201 - 


.0205 


10 


16 NCR 


1787 


03/01/96 






.0301 - 


.0304 


10 


16 NCR 1787 


03/01/96 






.0401 - 


.0410 


10 


16 NCR 1787 


03/01/96 






.0501 - 


.0511 


10 


16 NCR 1787 


03/01/96 






.0601 - 


.0602 


10 


16 NCR 1787 


03/01/96 






.0701 - 


.0703 


10 


16 NCR 


1787 


06/01/96 




21 


.0101 - 


.0110 


10 


16 NCR 


1787 


03/01/96 


JUSTICE 














12 NCAC 


04E 


0104 




10:07 NCR 


573 


10/01/95 




07D 


.0201 




10:07 NCR 


575 


10/01/95 






.0204 




10:11 NCR 


900 


12/01/95 






.0301 




10:07 NCR 


575 


10/01/95 






0401 




10:07 NCR 


575 


10/01/95 






.0701 




10:07 NCR 


575 


10/01/95 






.0706 




10:07 NCR 


575 


10/01/95 






.0801 




10:07 NCR 


575 


10/01/95 






.0806 




10:07 NCR 


575 


10/01/95 






.0808 




10:16 NCR 1796 


02/01/96 






.0902 




10:07 NCR 


575 


10/01/95 






.0904 




10:07 NCR 


575 


10/01/95 




09A 


.0204 




10:02 NCR 


122 


08/01/95 




09B 


.0113 




10:02 NCR 


122 


08/01/95 






.0201 - 


.0202 


10:02 NCR 


122 


08/01/95 






.0205 




10:02 NCR 


122 


08/01/95 






.0206 




10:02 NCR 


122 


08/01/95 






.0210 




10:02 NCR 


122 


08/01/95 






.0212 - 


.0214 


10:02 NCR 


122 


08/01/95 






.0226 - 


.0228 


10:02 NCR 


122 


08/01/95 






.0232 - 


.0233 


10:02 NCR 


122 


08/01/95 




09C 


.0401 




10:02 NCR 


122 


08/01/95 






.0601 




10:02 NCR 


122 


08/01/95 




09D 


.0102 




10:02 NCR 


122 


08/01/95 






.0104 - 


.0106 


10:02 NCR 


122 


08/01/95 




09F 


.0101 - 


.0107 


10:16 NCR 1797 


05/01/96 




lOB 


.0102 - 


.0103 


10:09 NCR 


723 


01/01/96 






.0105 




10:09 NCR 


723 


01/01/96 






.0204 




10:09 NCR 


723 


01/01/96 






.0301 




10:09 NCR 


723 


01/01/96 






.0304 




10 


09 NCR 


723 


01/01/96 



10/01/95 



08/01/95 
08/01/95 
01/01/96 

08/01/95 
08/01/95 
08/01/95 
08/01/95 
08/01/95 
08/01/95 
08/01/95 
08/01/95 
08/01/95 



10:16C 



NORTH CAROLINA REGISTER 



November 15, 1995 2213 



CUMULATIVE INDEX 



Agency/Rule Citation 


Proposed in 
Register 


Proposed 

Effective 

Date 


Fiscal Note 


EfTective 
Date 


Other Information 


State 


Local 



.0307 
.0401 
.0405 
.0407 
.0502 
.0505 
.0601 
.0702 
.0801 
.0901 
.0903 
.0908 
.1004 
.1201 
.0210 



.0403 

.0409 
.0503 

.0607 
.0706 
.0803 

.0906 
.0912 
.1005 
.1205 



10:09 
10:09 
10:09 
10:09 
10:09 
10:09 
10:09 
10:09 
10:09 
10:09 
10:09 
10:09 
10:09 
10:09 
10:05 



NCR 723 

NCR 723 

NCR 723 

NCR 723 

NCR 723 

NCR 723 

NCR 723 

NCR 723 

NCR 723 

NCR 723 

NCR 723 

NCR 723 

NCR 723 

NCR 723 

NCR 301 



01/01/96 
01/01/96 
01/01/96 
01/01/96 
01/01/96 
01/01/96 
01/01/96 
01/01/96 
01/01/96 
01/01/96 
01/01/96 
01/01/96 
01/01/96 
01/01/96 
09/01/95 



i 



10/01/95 



LABOR 

13 NCAC 



06 






07F 


.0101 
.0201 




12 


.0101 






.0303 - 


0315 




.0501 - 


0502 




.0803 - 


.0808 



15 



.0101 - .0110 



10:01 
10:01 
10:02 
10:02 
10:02 
10:02 
10:03 
10:03 
10:16 
10:16 
10:16 
10:02 
10:02 
10:02 
10:02 
10:16 
10:14 



NCR 
NCR 
NCR 
NCR 
NCR 
NCR 
NCR 
NCR 
NCR 
NCR 
NCR 
NCR 
NCR 
NCR 
NCR 
NCR 
NCR 



10 
12 
149 
149 
149 
149 
196 
197 
1799 
1800 
1823 
142 
142 
142 
142 
1827 
1323 



01/01/96 
01/01/96 
10/01/95 
01/01/96 
01/01/96 
02/01/96 
01/01/96 
01/01/96 
04/01/96 
04/01/96 
02/01/96 
08/01/95 
08/01/95 
08/01/95 
08/01/95 
04/01/96 
01/01/96 



Notice 
Notice 
Notice 
Notice 
Notice 
Notice 
Notice 
Notice 
Notice 



on Subject 
on Subject 
on Subject 
on Subject 
on Subject 
on Subject 
on Subject 
on Subject 
on Subject 



Matter 
Matter 
Matter 
Matter 
Matter 
Matter 
Matter 
Matter 
Matter 



( 



Notice on Subject Matter 



LANDSCAPE ARCHITECTS 

21 NCAC 26 .0307 



10:15 NCR 1583 



02/01/96 



LIST OF RULES CODIFIED 



10:02 NCR 
10:04 NCR 
10:06 NCR 
10:09 NCR 
10:10 NCR 
10:12 NCR 1017 
10:15 NCR 1585 



167 
272 
392 
783 
845 



Rules 
Rules 
Rules 
Rules 
Rules 
Rules 
Rules 



Filed 03/95 
Filed 04/95 
Filed 05/95 
Filed 06/95 
Filed 07/95 
Filed 08/95 
Filed 09/95 



MARRIAGE AND FAMILY THERAPY LICENSURE BOARD 



21 


NCAC 31 .0102 




.0104 




.0201 - .0203 




.0301 - .0304 




.0401 - .0404 




.0501 - .0506 




.0601 - .0609 




.0701 




.0801 




.0901 


VIE 


DICAL EXAMINERS 


21 


NCAC 32B .0901 - .0902 




32F .0003 




32H .0102 



10:16 NCR 
10:16 NCR 
10:16 NCR 
10:16 NCR 
10:16 NCR 
10:16 NCR 
10:16 NCR 
10:16 NCR 
10:16 NCR 
10:16 NCR 



2062 
2062 
2062 
2062 
2062 
2062 
2062 
2062 
2062 
2062 



10:10 NCR 831 
10:10 NCR 831 
10:02 NCR 151 



03/01/96 
03/01/96 
03/01/96 
03/01/96 
03/01/96 
03/01/96 
03/01/96 
03/01/96 
03/01/96 
03/01/96 



11/01/95 
11. '01/95 
07/01/96 



i 



07/01/96 



2214 



NORTH CAROLINA REGISTER 



November 15, 1995 10.16C 



CUMULATIVE INDEX 





Agency/Rule Citation 


Proposed in 
Register 


Proposed 


Fiscal Note 


Effective 
Date 


Other Informatioii 


Date 


State 


Local 





.0201 




10:02 NCR 151 


07/01/96 




.0203 




10:02 NCR 151 


07/01/96 




.0408 




10:02 NCR 151 


07/01/96 




.0506 




10:02 NCR 151 


07/01/96 




.0601 




10:02 NCR 151 


07/01/95 




,0602 




10:02 NCR 151 


07/01/96 




.0801 




10:02 NCR 151 


07/01/96 




.1001 




10:02 NCR 151 


07/01/96 


321 


.0003 - 


.0004 


10:02 NCR 151 


07/01/95 


32M 


.0001 - 


.0002 


10:10 NCR 831 


11/01/95 


MORTUARY SCIENCE 








21 NCAC 34B 


.0401 




10:13 NCR 1182 


01/01/96 


34D 


.0202 




10:13 NCR 1182 


01/01/96 




.0301 




10:13 NCR 1182 


01/01/96 


NURSING, BOARD OF 








21 NCAC 36 


.0109 




10 


11 NCR 908 


01/01/96 




.0202 - 


.0203 


10 


11 NCR 908 


01/01/96 




.0209 




10 


11 NCR 908 


01/01/96 




.0211 




10 


11 NCR 908 


01/01/96 




.0216 - 


.0219 


10 


11 NCR 908 


01/01/96 




.0221 




10 


11 NCR 908 


01/01/96 




.0225 




10 


11 NCR 908 


01/01/96 




.0227 




10 


11 NCR 908 


01/01/96 




.0228 




10 


16 NCR 2068 


02/01/96 




.0318 




10 


11 NCR 908 


01/01/96 




.0320 




10 


1 1 NCR 908 


01/01/96 




.0322 




10 


1 1 NCR 908 


01/01/96 




.0401 - 


.0405 


10 


10 NCR 839 


12/01/95 


NURSING HOME ADMINISTRATORS 




21 NCAC 37 


.0101 




10:04 NCR 262 


08/01/95 




.0302 




10:03 NCR 206 


08/01/95 




.0404 




10:03 NCR 206 


08/01/95 




.0502 




10:03 NCR 206 


08/01/95 




.0603 




10:03 NCR 206 


08/01/95 




.0904 




10:04 NCR 262 


08/01/95 




.0912 




10:03 NCR 206 


08/01/95 




.0914 




10:03 NCR 206 


08/01/95 


37A 


.0101 




10:16 NCR 2069 


04/01/96 




.0108 




10:16 NCR 2069 


04/01/96 




.0110 




10:16 NCR 2069 


04/01/96 




.0208 




10:16 NCR 2069 


04/01/96 




.0211 




10:16 NCR 2069 


04/01/96 




.0306 




10:16 NCR 2069 


04/01/96 




.0308 




10:16 NCR 2069 


04/01/96 




.0506 




10:16 NCR 2069 


04/01/96 




.0603 - 


.0604 


10:16 NCR 2069 


04/01/96 




.0702- 


.0707 


10:16 NCR 2069 


04/01/96 




.0805 




10:16 NCR 2069 


04/01/96 




.0901 




10:16 NCR 2069 


04/01/96 




.0905 




10:16 NCR 2069 


04/01/96 




.0907 




10:16 NCR 2069 


04/01/96 




.1203 




10:16 NCR 2069 


04/01/96 


37B 


.0101 - 


.0103 


10:16 NCR 2069 


04/01/96 




.0201 




10:16 NCR 2069 


04/01/96 




.0203 




10:16 NCR 2069 


04/01/96 




-0205 




10:16 NCR 2069 


04/01/96 


37C 


.0101 - 


0103 


10:16 NCR 2069 


04/01/96 


37D 


.0101 - 


.0102 


10:16 NCR 2069 


04/01/96 




.0201 - 


.0203 


10:16 NCR 2069 


04/01/96 




.0301 - 


.0303 


10 


16 NCR 2069 


04/01/96 



07/01/96 

07/01/96 
07/01/96 
09/01/95 
07/01/96 
07/01/96 
07/01/96 
09/01/95 



08/01/95 

N/A 

N/A 
08/01/95 
08/01/95 

N/A 
08/01/95 

N/A 



Agency withdrew Rule 
Agency withdrew Rule 



Agency withdrew Rule 
Agency withdrew Rule 



10:I6C 



NORTH CAROLINA REGISTER 



November 15, 1995 2215 



CUMULATIVE INDEX 





Agency/Rule Citation 


Proposed in 
Register 


Proposed 

Effective 

Date 


Fiscal Note 


Effective 
Dale 


Other Information 


State 


Local 





.0402 - 


0406 


10:16 NCR 2069 


04/01/96 




.0408 


.0412 


10:16 NCR 2069 


04/01/96 




.0501 - 


.0503 


10:16 NCR 2069 


04/01/96 




.0601 - 


.0603 


10:16 NCR 2069 


04/01/96 




.0605 




10:16 NCR 2069 


04/01/96 




.0701 - 


.0703 


10:16 NCR 2069 


04/01/96 


37E 


.0101 - 


.0102 


10:16 NCR 2069 


04/01/96 


37F 


.0101 - 


.0102 


10:16 NCR 2069 


04/01/96 


37G 


.0101 - 


.0102 


10:16 NCR 2069 


04/01/96 




.0201 - 


.0202 


10:16 NCR 2069 


04/01/96 




.0301 




10:16 NCR 2069 


04/01/96 




.0401 




10:16 NCR 2069 


04/01/96 


37H 


.0101 - 


.0104 


10:16 NCR 2069 


04/01/96 


371 


.0101 




10:16 NCR 2069 


04/01/96 


OPTICIANS 










21 NCAC 40 


.0314 




10:16 NCR 208! 


02/01/96 


PASTORAL COUNSELORS, FEE-BASED PRACTICING 




21 NCAC 45 


.0101 




10:16 NCR 2082 


03/01/96 




.0201 - 


.0203 


10:16 NCR 2082 


03/01/96 




.0301 - 


.0303 


10:16 NCR 2082 


03/01/96 




.0401 - 


.0402 


10:16 NCR 2082 


03/01/96 




.0501 




10:16 NCR 2082 


03/01/96 




0601 




10:16 NCR 2082 


03/01/96 




.0701 




10:16 NCR 2082 


03/01/96 




.0801 - 


.0802 


10:16 NCR 2082 


03/01/96 




.0901 




10:16 NCR 2082 


03/01/96 




.1001 




10:16 NCR 2082 


03/01/96 


PHARMACY, BOARD OF 






21 NCAC 46 


.1204 




10:16 NCR 2085 


05/01/96 




.1317 




10:16 NCR 2085 


05/01/96 




.1401 - 


.1404 


10:16 NCR 2085 


05/01/96 




.1406 




10:16 NCR 2085 


05/01/96 




.1408 




10:16 NCR 2085 


05/01/96 




.1410- 


.1417 


10:16 NCR 2085 


05/01/96 




.1505 




10:16 NCR 2085 


05/01/96 




.1601 - 


.1604 


10:16 NCR 2085 


05/01/96 




.1607 




10:16 NCR 2085 


05/01/96 




.1701 - 


.1705 


10:16 NCR 2085 


05/01/96 




.1810- 


.1811 


10:16 NCR 2085 


05/01/96 




.1910 




10:16 NCR 2085 


05/01/96 




.2104 




10:16 NCR 2085 


05/01/96 




.2403 




10:16 NCR 2085 


05/01/96 




.2502 




10:16 NCR 2085 


05/01/96 




.2504 




10:16 NCR 2085 


05/01/96 




.2506 




10:16 NCR 2085 


05/01/96 




.2602 




10:16 NCR 2085 


05/01/96 




.2609 




10:16 NCR 2085 


05/01/96 




.2611 




10:16 NCR 2085 


05/01/96 


PHYSICAL THERAPY EXAMINERS 




21 NCAC 48 A 


.0001 




10:16 NCR 2107 


02/01/96 




.0004 




10:16 NCR 2107 


02/01/96 


48B 


.0002 




10:16 NCR 2107 


02/01/96 


48C 


.0103 




10:08 NCR 671 


10/01/95 


48D 


.0006 




10:08 NCR 671 


10/01/95 




.0008 




10:08 NCR 671 


10/01/95 




.0009 - 


0011 


10:16 NCR 2107 


02/01/96 




.0011 




10:08 NCR 671 


10/01/95 


48E 


.0101 




10:16 NCR 2107 


02/01/96 




.0104 




10:16 NCR 2107 


02/01/96 



N/A 
10/01/95 
10/01/95 

10/01/95 



Agency withdrew Rule 



2216 



NORTH CAROLINA REGISTER 



November 15, 1995 I0:16C 



CUMULATIVE INDEX 



IIT 



Agency/Rule Citation 


Proposed in 
Register 


Proposed 

Effective 

Date 


Fiscal Note 


Effective 
Date 


Other Infonnation 


State 


Local 



48F 



48G 



48H 



.0110 
.0110 
.0002 
.0003 
.0501 
.0504 
.0509 
.0601 
.0601 
.0102 
.0104 
.0701 
.0701 



.0516 



.0704 



10:08 NCR 671 


10/01/95 


10:16 NCR 2107 


02/01/96 


10:08 NCR 671 


10/01/95 


10:16 NCR 2107 


02/01/96 


10:08 NCR 671 


10/01/95 


10:16 NCR 2107 


02/01/96 


10:16 NCR 2107 


02/01/96 


10:08 NCR 671 


10/01/95 


10:16 NCR 2107 


02/01/96 


10:16 NCR 2107 


02/01/96 


10:08 NCR 671 


10/01/95 


10:08 NCR 671 


10/01/95 


10:16 NCR 2107 


02/01/96 



PLUMBING, HEATING & FIRE SPRINKLER CONTRACTORS 

21 NCAC 50 .0402 10:01 NCR 39 09/01/95 

.0505 10:01 NCR 39 09/01/95 

PROFESSIONAL COUNSELORS 



21 NCAC 53 .0204- 


.0211 


10:01 NCR 40 


07/01/95 


0301 




10:01 NCR 40 


07/01/95 


.0305 - 


.0309 


10:01 NCR 40 


07/01/95 


.0310 




10:01 NCR 40 


07/01/95 


.0403 - 


.0405 


10:01 NCR 40 


07/01/95 


.0601 - 


.0604 


10:01 NCR 40 


07/01/95 


PROFESSIONAL ENGINEERS AND LAND SURVEYORS 


21 NCAC 56 .0802 




10:11 NCR 934 


12/01/95 


.0804 




10:11 NCR 934 


12/01/95 


.0902 




10:11 NCR 934 


12/01/95 


.1103 




10:11 NCR 934 


12/01/95 


.1301 




10:11 NCR 934 


12/01/95 


.1602 




10:11 NCR 934 


12/01/95 


.1604 




10:11 NCR 934 


12/01/95 


.1608 




10:11 NCR 934 


12/01/95 


.1707 




10:11 NCR 934 


12/01/95 


.1712- 


.1713 


10:11 NCR 934 


12/01/95 


PSYCHOLOGY BOARD 








21 NCAC 54 .1604- 


.1605 


10:16 NCR 2111 


03/01/96 


.1608 




10:16 NCR2111 


03/01/96 


.1610 




10:16 NCR 2111 


03/01/96 


.1701 




10:11 NCR 929 


12/01/95 


.1703 - 


.1705 


10:16 NCR2111 


03/01/96 


.1707 




10:11 NCR 929 


12/01/95 


.1801 - 


.1803 


10:16 NCR2111 


03/01/96 


.1901 




10:16 NCR 21 11 


03/01/96 


.1904 




10:16 NCR 21 11 


03/01/96 


.2001 - 


.2005 


10:16 NCR2111 


03/01/96 


.2007- 


.2009 


10:16 NCR 2111 


03/01/96 


.2101 




10:16 NCR2111 


03/01/96 


.2103 




10:16 NCR 21 11 


03/01/96 


.2201 - 


.2204 


10:16 NCR 2111 


03/01/96 


.2704 - 


.2706 


10:11 NCR 929 


12/01/95 


PUBLIC EDUCATION 








16 NCAC 06 A .0001 - 


.0002 


10:16 NCR 1997 


04/01/96 


06B .0001 - 


.0002 


10:16 NCR 1997 


04/01/96 


.0004- 


.0006 


10:16 NCR 1997 


04/01/96 


06C .0101 




10:15 NCR 1565 


04/01/96 


.0313 




10:15 NCR 1565 


04/01/96 


06D .0102 




10:16 NCR 1997 


04/01/96 



10/01/95 
10/01/95 
10/01/95 

10/01/95 



10/01/95 
10/01/95 



09/01/95 

N/A 



07/01/95 
07/01/95 
07/01/95 

07/01/95 
07/01/95 



Agency Did Not Adopt 



10:16C 



NORTH CAROLINA REGISTER 



November 15, 1995 2217 



CUMULATIVE INDEX 





Agency/Rule Citation 


Proposed in 
Renter 


Proposed 

Effective 

Date 


Fiscal Note 


Effective 
Date 


Other Information 


State 


Local 





.0104 






.0106 






.0301 - 


.0302 


06E 


.0101 - 

.0104 

.0202 


.0102 


06G 


.0301 - 


.0303 


06H 


.0001 






.0006- 


.0008 



REAL ESTATE COMMISSION 

21 NCAC 58A .0104 



58C 



58E 



.0107 




.0110 




.0113 




.0302 




.0401 - 


.0402 


.0403 




.0502 




.0503 




.0503 - 


.0506 


.0504 - 


.0506 


.0505 




.0510 




.0610 




.1702 




.1703 




.1707- 


.1708 


.1708 




.1710- 


.1711 


.1711 




.0104 




.0305 - 


.0307 


.0311 - 


.0312 


.0103 




.0203 - 


.0204 


.0203 - 


.0204 


.0302 - 


0304 


.0303 - 


.0305 


.0310 




.0406 - 


.0407 


.0406- 


.0407 


.0411 




.0503 




.0506 




.0511 




.0515 





REFRIGERATION EXAMINERS 

21 NCAC 60 .0102 
.0105 
.0204 
.0314 
.1102 
.1103 

REVENUE 

Tax Review Board 
Tax Review Board 
Tax Review Board 
Tax Review Board 
17 NCAC 09G .0102 

.0104 - .0105 



10:16 NCR 1997 


10:07 NCR 


584 


10:16 NCR 1997 


10:16 NCR 1997 


10:16 NCR 1997 


10:16 NCR 1997 


10:16 NCR 1997 


10:16 NCR 1997 


10:16 NCR 1997 


10:16 NCR 2124 


10:16 NCR 2124 


10:02 NCR 


157 


10:16 NCR 2124 


10:16 NCR 


2124 


10:16 NCR 2124 


10:04 NCR 


263 


10:16 NCR 2124 


10:04 NCR 


263 


10:16 NCR 2124 


10:02 NCR 


157 


10:04 NCR 


263 


10:16 NCR 2124 


10:16 NCR 2124 


10:16 NCR 2124 


10:02 NCR 


157 


10:02 NCR 


157 


10:16 NCR 2124 


10:02 NCR 


157 


10:16 NCR 2124 


10:16 NCR 2124 


10:16 NCR 2124 


10:16 NCR 2124 


10:02 NCR 


157 


10:02 NCR 


157 


10:16 NCR 2124 


10:16 NCR 2124 


10:02 NCR 


157 


10:16 NCR 2124 


10:02 NCR 


157 


10:16 NCR 2124 


10:16 NCR 2124 


10:16 NCR 


2124 


10:02 NCR 


157 


10:16 NCR 2124 


10:02 NCR 


157 


10:04 NCR 


264 


10:09 NCR 


781 


10:04 NCR 


264 


10:04 NCR 


264 


10:04 NCR 


264 


10:09 NCR 


781 


10:01 NCR 


03 


10:07 NCR 


428 


10:09 NCR 


716 


10:11 NCR 


890 


10:16 NCR 


2006 


10:16 NCR 


2006 



04/01/96 
11/01/95 
04/01/96 
04/01/96 
04/01/96 
04/01/96 
04/01/96 
04/01/96 
04/01/96 



03/01/96 
03/01/96 
07/01/95 
03/01/96 
03/01/96 
03/01/96 
08/01/95 
01/01/97 
08/01/95 
03/01/96 
07/01/95 
08/01/95 
03/01/96 
03/01/96 
03/01/96 
07/01/95 
07/01/95 
03/01/96 
07/01/95 
03/01/96 
03/01/96 
03/01/96 
03/01/96 
07/01/95 
07/01/95 
03/01/96 
03/01/96 
07/01/95 
03/01/96 
07/01/95 
03/01/96 
03/01/96 
03/01/96 
07/01/95 
03/01/96 
07/01/95 



08/01/95 
11/01/95 
08/01/95 
08/01/95 
08/01/95 
11/01/95 



i 



07/01/95 

08/01/95 

08/01/95 

07/01/95 
08/01/95 



07/01/95 
07/01/95 

07/01/95 



07/01/95 
07/01/95 



07/01/95 
07/01/95 

07/01/95 
07/01/95 

08/01/95 

08/01/95 
08/01/95 
08/01/95 



< 



11/30/96 
11/30/96 



i 



2218 



NORTH CAROLINA REGISTER 



November 15, 1995 10:16C 



CUMULATIVE INDEX 



Ag«acy/Riile Citation 



Proposed in 
Register 



Proposed 

Effective 

Date 



Fiscal Note 



State Local 



EffectiTe 
Date 



Other Information 





.0107 




10:16 NCR 2006 


11/30/96 




.0201 - 


.0203 


10:16 NCR 2006 


11/30/96 




.0301 - 


.0304 


10:16 NCR 2006 


11/30/96 




.0306 




10:16 NCR 2006 


11/30/96 




.0402- 


.0404 


10:16 NCR 2006 


11/30/96 




.0502- 


.0509 


10:16 NCR 2006 


11/30/96 




.0512 




10:16 NCR 2006 


11/30/96 




.0514 




10:16 NCR 2006 


11/30/96 




.0516 




10:16 NCR 2006 


11/30/96 


09H 


.0102 - 


.0103 


10:16 NCR 2006 


11/30/96 




.0105 




10:16 NCR 2006 


11/30/96 




.0202 - 


.0203 


10:16 NCR 2006 


11/30/96 




.0206- 


.0210 


10:16 NCR 2006 


11/30/96 




.0302- 


.0303 


10:16 NCR 2006 


11/30/96 




.0305 - 


.0306 


10:16 NCR 2006 


11/30/96 




.0409 




10:16 NCR 2006 


11/30/96 


09K 


.0201 - 


.0206 


10:16 NCR 2006 


01/01/96 




.0401 




10:16 NCR 2006 


01/01/96 




.0501 - 


.0513 


10:16 NCR 2006 


01/01/96 




.0601 - 


.0602 


10:16 NCR 2006 


01/01/96 


09L 


.0301 - 


.0302 


10:16 NCR 2006 


01/01/96 




.0401 - 


.0404 


10:16 NCR 2006 


01/01/96 


SECRETARY OF STATE 






18 NCAC 






10:16 NCR 2015 


04/01/96 


04 


.0102 




10:15 NCR 1567 


02/01/96 




.0201 




10:15 NCR 1567 


02/01/96 




.0203 




10:15 NCR 1567 


02/01/96 




.0205 - 


.0206 


10:15 NCR 1567 


02/01/96 




.0302 - 


.0308 


10:15 NCR 1567 


02/01/96 




.0311 - 


.0314 


10:15 NCR 1567 


02/01/96 




.0316 - 


.0318 


10:15 NCR 1567 


02/01/96 




.0401 - 


.0402 


10:15 NCR 1567 


02/01/96 




.0501 - 


.0504 


10:15 NCR 1567 


02/01/96 


05 


.0101 




10:15 NCR 1573 


02/01/96 




.0203 - 


.0209 


10:15 NCR 1573 


02/01/96 




.0304 - 


.0305 


10:15 NCR 1573 


02/01/96 




.0404 




10:15 NCR 1573 


02/01/96 


06 


.1205 - 


.1206 


10:05 NCR 306 


09/01/95 




.1208 




10:05 NCR 306 


09/01/95 




.1302- 


.1305 


10:05 NCR 306 


09/01/95 




.1313 




10:05 NCR 306 


09/01/95 




.1402 




10:11 NCR 906 


12/01/95 




.1601 - 


.1602 


10:15 NCR 1575 


02/01/96 




.1604- 


.1605 


10:15 NCR 1575 


02/01/96 




.1607 




10:15 NCR 1575 


02/01/96 


07 


.0302 




10:15 NCR 1578 


02/01/96 


SOCIAL WORK, 


BOARD OF 






21 NCAC 63 


.0306 




10:13 NCR 1185 


01/01/96 


STATE PERSO>fNEL 








25 NCAC 01 B 


.0201 




10:16 NCR 2155 


02/01/96 




.0203 - 


.0207 


10:16 NCR 2155 


02/01/96 




.0213 




10:16 NCR 2155 


02/01/96 




.0414 




10:16 NCR 2155 


02/01/96 




.0431 




10:16 NCR 2155 


02/01/96 




.0437 - 


.0439 


10:16 NCR 2155 


02/01/96 


OIC 


.0207 




10:04 NCR 264 


08/01/95 




.0402- 


.0408 


10:04 NCR 264 


08/01/95 




.0412 




10:16 NCR 2155 


02/01/96 


OlD 


.0201 




10:04 NCR 264 


08/01/95 



Notice on Subject Matter 



10:16C 



NORTH CAROLINA REGISTER 



November 15, 1995 2219 



CUMULATIVE INDEX 



Agency/Rule Citation 


Proposed in 
Register 


Proposed 

Effective 

Date 


Fiscal Note 


Effective 


Other Infonnation 


State 


Local 


Date 



.0205 




10:04 NCR 


264 


08/01/95 


.0207 




10;04 NCR 


264 


08/01/95 


.0211 




10:04 NCR 


264 


08/01/95 


.0401 




10:12 NCR 


986 


12/01/95 


.0406 




10:12 NCR 


986 


12/01/95 


.0504 




10:12 NCR 


986 


12/01/95 


.0509 




10:07 NCR 


588 


10/01/95 


.0510- 


.0511 


10:12 NCR 


986 


12/01/95 


.0515 




10:12 NCR 


986 


12/01/95 


.0520 




10:16 NCR 


2155 


02/01/96 


.0808 




10:04 NCR 


264 


08/01/95 


.0910 




10:12 NCR 


986 


12/01/95 


.1001 




10:04 NCR 


264 


08/01/95 


.1001 




10:12 NCR 


986 


12/01/95 


.1005 




10:12 NCR 


986 


12/01/95 


.1009 




10:04 NCR 


264 


08/01/95 


.1009- 


.1010 


10:12 NCR 


986 


12/01/95 


.1201 




10:04 NCR 


264 


08/01/95 


1204 




10:04 NCR 


264 


08/01/95 


.1401 




10:04 NCR 


264 


08/01/95 


.1801 - 


1802 


10:04 NCR 


264 


08/01/95 


.1928 




10:12 NCR 


986 


12/01/95 


.2001 




10:04 NCR 


264 


08/01/95 


.2301 - 


.2305 


10:16 NCR 


2155 


02/01/96 


.2601 - 


.2604 


10:12 NCR 


986 


12/01/95 


OlE .0304 - 


.0305 


10:12 NCR 


986 


12/01/95 


0804 




10:04 NCR 


264 


08/01/95 


.1001 - 


.1002 


10:12 NCR 


986 


12/01/95 


1110 




10:12 NCR 


986 


12/01/95 


.1402 - 


.1411 


10:07 NCR 


588 


10/01/95 


01 H .0628 




10:12 NCR 


986 


12/01/95 


Oil .2301 - 


.2310 


10:12 NCR 


986 


12/01/95 


OU .0401 - 


.0413 


10:12 NCR 


986 


12/01/95 


.0501 - 


.0511 


10:12 NCR 


986 


12/01/95 


.0604- 


.0606 


10:07 NCR 


588 


10/01/95 


.0608 




10:07 NCR 


588 


10/01/95 


.0610 - 


.0615 


10:07 NCR 


588 


10/01/95 


.0801 - 


.0809 


10:12 NCR 


986 


12/01/95 


OIK .0312 




10:04 NCR 


264 


08/01/95 


.0318 




10:12 NCR 


986 


12/01/95 


.0701 - 


.0705 


10:12 NCR 


986 


12/01/95 


.0707 - 


.0708 


10:12 NCR 


986 


12/01/95 


OIL .0101 - 


0106 


10:12 NCR 


986 


12/01/95 



i 



10/01/95 



08/08/95 



10/01/95 



10/01/95 
10/01/95 
10/01/95 



i 



SUBSTANCE ABUSE PROFESSIONALS CERTIFICATION BOARD 

21 NCAC 68 .0501 -.0511 10:14 NCR 1382 02/01/96 

.0601 - .0610 10:14 NCR 1382 02/01/96 



THERAPEUTIC RECREATION CERTIFICATION BOARD 



21 NCAC 65 


.0004 




10:16 NCR 2140 


02/01/96 




.0006 - 


.0007 


10:16 NCR 2140 


02/01/96 


TRANSPORTATION 








19A NCAC 02D 


.0415 




10:12 NCR 984 


12/31/95 




.0801 




10:04 NCR 254 


09/01/95 




.1101 - 


.1112 


10:16 NCR 2015 


03/01/96 


03 D 


.0517 




10:16 NCR 2020 


02/01/96 




.0549 




10:16 NCR 2020 


02/01/96 




.0551 - 


.0553 


10:16 NCR 2020 


02/01/96 


04A 


.0004 




10:10 NCR 829 


12/01/95 


06B 


.0401 - 


.0417 


10:16 NCR 2023 


03/01/96 



10/01/95 



i 



2220 



NORTH CAROLINA REGISTER 



November 15, 1995 10:16C 



CUMULATIVE INDEX 



Agency/Rule Citation 


Proposed in 
Register 


Proposed 

Effective 

Date 


Fiscal Note 


Effective 
Date 


Other Information 


State 


Local 



VETERINARY MEDICAL BOARD 

21 NCAC 66 



.0101 




10:16 NCR 2143 


04/01/96 


.0105 - 


.0106 


10:16 NCR 2143 


04/01/96 


.0108 




10:16 NCR 2143 


04/01/96 


.0201 - 


.0203 


10:16 NCR 2143 


04/01/96 


.0205 - 


.0210 


10:16 NCR 2143 


04/01/96 


.0301 




10:16 NCR 2143 


04/01/96 


.0303 - 


.0308 


10:16 NCR 2143 


04/01/96 


.0310 - 


.0311 


10:16 NCR 2143 


04/01/96 


.0601 




10:16 NCR 2143 


04/01/96 


.0606 




10:16 NCR 2143 


04/01/96 


.0703 




10:16 NCR 2143 


04/01/96 



10:16C 



NORTH CAROLINA REGISTER 



November 15, 1995 2221 



i 



i 



I 



BARCLAYS OFFICIAL NORTH CAROLINA ADMINISTRATIVE CODE - 1995 



DESCRIPTION 



CODE 



ONE-TIME 

PURCHASE 

PRICE 



ANNUAL 

SUBSCRIPTION 

PRICE 



Trde 1 - Dept. of AdminislTation - Full Trde 

Division of Purchase & Contract 
Federal Block Grant Funds 

Trde 2 - Dept. of Agriculture - Full Title 

Food & Drug Protection Division 
Structural Pest Control Committee 
Agricultural Markets 
Plant Industry 
Animal Industry 

Title 3 - Dept. of State Auditor - Full Trde 

Trde 4 - Dept. of Commerce - Full Trde 

Alcoholic Beverage Control Commission 

Banking Commission 

Credit Union Division 

Savings & Loan Division 

Industrial Commission/Workers Compensation 

Savings Institutions Division 

Trde 5 - Dept. of Corrections - Full Trde 

Division of Prisons 

Trde 6 - Councl of State - Full Trde 

Trde 7 - Dept. of Cultural Resources - Full Title 

Trde 8 - State Board of Elections - Full Trde 

Trde 9 - Offices of the Governor & Lt. Governor - FiJI Tide 



201 GO 00 

201 10 06 

201 10 33 

202 00 00 

202 15 09 
202 15 34 
202 15 43 
202 1 5 48 

202 1 5 52 

203 00 00 

204 00 00 

204 1 5 02 
204 1 5 03 
204 1 5 06 
204 1 5 09 
204 15 10 

204 15 16 

206 00 00 

205 15 02 

206 00 00 

207 00 00 

208 00 00 

209 00 00 



$63.00 

$21.00 
$17.50 

$98.00 

$28.00 
$21.00 
$21.00 
$21.00 
$21.00 

$7.00 



$87.50 


$12.00 


$24.50 


$14.00 


$14.00 


$14.00 


$24.50 


$56.00 


$24.50 



$21.00 



$21.00 



$7.00 



$31.50 



$90.00 

$30.00 
$25.00 

$140.00 

$40.00 
$30.00 
$30.00 
$30.00 
$30.00 

$10.00 

$125.00 

$40.00 
$35.00 
$20.00 
$20.00 
$20.00 
$35.00 

$80.00 

$35.00 

$30.00 
$30.00 
$10.00 
$45.00 



Trde 10 - Dept. of Human Resources - Fdl Trde 

Licensing of Health Facilities 

Detention Facilities 

Mental Health & Rehabilitation Services 

Social Services 

Children Services/Day Care 

Services for the Aging 

Services for the Blind 

Services for the Deaf & Hard of Hearing 

Employment Opportunities 

Trde 1 1 - Dept. of Insurance - Full Trde 

Insurance 

Consumer Services 

Fire & Rescue Services 

Agent Services 

Engineering & Building Codes 

Title 12 - Dept. of Justice - Full Trde 

Private Protective Services 

Police & Sheriff's Education & Training Standards 

NC Alarm Systems Licensing Board 

Trde 13 - Dept. of Labor - Full Trde 

Mine & Quarry Safety 

General Safety/OSHA 

Wage & Hour Rules 

Boiler & Pressure Vessel Safety 

Apprenticeship & Training 

Elevator & Amusement Device Safety 

Trde 14A - Dept. of Crime Control & Public Safety - Full Trde 

Alcohol Law Enforcement 
Victims Compensation Fund 



Tide ISA - Dept. of Environ., Health, & Nat. Resources 

Environmental Management 

Air Quality 

Water Quality 

Land & Waste Management 

Solid Waste Management 

Underground Storage Tanks 



Full Tide 



210 00 00 

210 20 10 
210 20 20 
210 20 30 
210 20 40 
210 20 41 
210 20 42 
210 20 43 
210 20 44 

210 20 45 

211 00 00 

211 1001 
211 10 04 
211 1005 
211 10 06 

211 1008 

212 00 00 

212 10 07 
212 10 09 

212 10 11 

213 00 00 

213 15 06 
213 20 00 
213 15 12 
213 15 13 
213 15 14 

213 15 15 

214 00 00 

214 00 08 

214 00 11 

215 00 00 

215 1 5 00 
215 15 10 
215 15 20 
215 15 30 
215 15 31 
215 15 32 



$346.50 

$45.50 
$31.50 
$77.00 
$119.00 
$31.50 
$31.50 
$28.00 
$17.50 
$35.00 

$63.00 

$56.00 
$24.50 
$17.50 
$28.00 
$21.00 

$63.00 

$21.00 
$31.50 
$17.50 

$77.00 

$14.00 
$31.50 
$14.00 
$14.00 
$14.00 
$14.00 

$31.50 

$17.50 
$14.00 

$276.50 

$115.50 
$49.00 
$49.00 
$56.00 
$35.00 
$17.50 



$495.00 

$65.00 
$45.00 
$110.00 
$170.00 
$45.00 
$45.00 
$40.00 
$25.00 
$50.00 

$90.00 

$80.00 
$35.00 
$25.00 
$40.00 
$30.00 

$90.00 

$30.00 
$45.00 
$25,00 

$110.00 

$20.00 
$45.00 
$20.00 
$20.00 
$20,00 
$20.00 

$45.00 

$25.00 
$20.00 

$395.00 

$165.00 
$70.00 
$70.00 
$80.00 
$50.00 
$25.00 



DESCRIPTION 





ONE-TIME 


ANNUAL 




PURCHASE 


SUBSCRIPTION 


CODE 


PRICE 


PRICE 


215 15 40 


$31.50 


$45.00 


215 25 00 


$105.00 


$150.00 


215 25 10 


$42.00 


$60.00 


215 25 20 


$35.00 ■ 


$50.00 


215 25 30 


$59.50 


$85.00 


215 25 31 


$17.50 


$25.00 


216 00 00 


$21.00 


$30.00 


216 1006 


$21.00 


$30.00 


217 00 00 


$91.00 


$130.00 


217 15 10 


$31.50 


$45.00 


217 15 20 


$56.00 


$80.00 


217 15 27 


$31.50 


$45.00 


217 15 29 


$21.00 


$30.00 


218 00 00 


$21.00 


$30.00 


218 1006 


$21.00 


$30.00 


219 00 00 


$63.00 


$90.00 


219 10 02 


$28.00 


$40.00 


219 10 03 


$35.00 


$50.00 


220 00 00 


$31.50 


$45.00 


221 00 00 


$143.50 


$205.00 


222 00 00 


$0.00 


$0.00 


223 00 00 


$7.00 


$10.00 


224 00 00 


$7.00 


$10.00 


225 00 00 


$42.00 


$60.00 


226 00 00 


$7.00 


$10.00 


227 00 00 


$42.00 


$60.00 


299 99 98 


$375.00 


$750.00 


266 00 00 


.. 


$750.00 


266 BO 00 




$250.00 


288 50 00 


$295.00 


$475.00 


288 80 00 


$40.00 


$75.00 


299 90 00 


$16.00 





Coastal Management 

Environmental Health 

Radiation/Nuclear Waste 

Sanitation 

Public Health 

Intoxilizer & Breathalyser 

Tide 16 - Dept. of Public Instruction - Full Title 

Elementary & Secondary Education 

Title 1 7 - Dept. of Revenue - Full Title 

Taxes on Individuals 
Taxes on Business 
Sales & Use Tax Division 
Motor Fuels Tax Division 

Title 1 8 - Secretary of State ■ Full Title 

Securities Division 

Title 1 9A - Dept. of Transportation - Full Title 

Division of Highways 
Division of Motor Vehicles 

Title 20 - Dept. of the State Treasurer - Full Title 

Title 21 - Occupational Licensing Boards - Full Title 

Title 22 - Administrative Procedures Act - Repealed 

Title 23 - Dept. of Community Colleges - Full Title 

Title 24 - Independent Agencies - Full Title 

Title 25 - Office of State Personnel - Full Title 

Title 26 - Office of Administrative Hearings - Full Trde 

Title 27 - North Carolina State Bar - Full Title 

North Carolina Administrative Code - Full Code 

(Add $85.00 Shipping and Handling) 

CD-ROM North Carolina Administrative Code 
CD-ROM North Carolina Administrative Code 

(When purchased with the Full Code in Print) 

Master Index 

Master Table of Contents 

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